DFX Intelligence

P•••••• F•••••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

P•••••• F•••••• M••••••

Advisor at C••••• I••••••••• A••••••• L••

BINGHAMTON, NY | CLIFTON PARK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8ffcea2b-3839-8f45-5c8f-819530a28f5e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 20, 2005 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 15, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jun 29, 2023	n/a	yes	BINGHAMTON, NY\|CLIFTON PARK, NY	Current employment
A••••••••• W••••• P•••••••	Independent wealth	Apr 7, 2021	Dec 4, 2025	no	Bingham, NY\|Clifton Park, NY\|MINNETONKA, MN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• W••••• P•••••••	C••••• I••••••••• A••••••• L••	Dec 4, 2025	Jun 29, 2023	-889	Firm change after gap	RIA to ibd
C••••• A•••••• N••••••• L••	A••••••••• W••••• P•••••••	Jun 30, 2023	Apr 7, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
13572:113074:NY:2023-06-29	Jun 30, 2023	Apr 7, 2021	BINGHAMTON, NY	Firm change after gap

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jun 29, 2023 to presentfactForm ADV
→ A••••••••• W••••• P•••••••Registered adviserregistration: previous registration
Apr 7, 2021 to Dec 4, 2025factForm ADV
→ C••••• A•••••• N••••••• L••Registered adviserregistration: previous registration
Mar 31, 2021 to Jun 30, 2023factForm ADV
→ C•••••• S••••• • C••• I•••

Dated events

Occurred
Dec 4, 2025
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 30, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ffcea2b-3839-8f45-5c8f-819530a28f5e
First observed: Jul 20, 2005
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.