DFX Intelligence

E••• P••••••• K••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner11 years in industry

E••• P••••••• K••••••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | ALBANY, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2021 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Jun 16, 2026	n/a	yes	ALBANY, NY\|NEW YORK, NY	Current employment
G•••••• S•••• W••••• S•••••••• L•••	Bd affiliated wealth	Jul 20, 2021	Jul 9, 2026	no	COHOES, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••••• S•••• W••••• S•••••••• L•••	C••••• P••••••• L••	Jul 9, 2026	Jun 16, 2026	-23	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Jun 16, 2026 to presentfactForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Jul 20, 2021 to Jul 9, 2026factForm ADV

Dated events

Order

Occurred
9 Jul 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 20, 2021
Last observed: Sep 15, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.