DFX Intelligence

C••••••••• W•••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

C••••••••• W•••••• R•••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Latham, NY

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Search this name across graphsid dfx:ria:9266f745-cd0b-1e91-7874-f43fa550abcf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 15, 2024 to Sep 14, 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Nov 17, 2025	n/a	yes	Latham, NY	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Dec 4, 2025	no	ALBANY, NY\|TROY, NY\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Dec 4, 2025	Nov 17, 2025	-17	Firm change	Ibd to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Relationships

Registered with (3)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Nov 17, 2025 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Dec 4, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Aug 15, 2024 to Mar 31, 2025factForm ADV

Dated events

Occurred
Dec 4, 2025
Advisor changed firm
C••••••••• W•••••• R••• left S•••••••• A••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-11-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9266f745-cd0b-1e91-7874-f43fa550abcf
First observed: Aug 15, 2024
Last observed: Sep 14, 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.