DFX Intelligence

V•••••• R•••••• F••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

V•••••• R•••••• F••••

Advisor at C•••••• A•••••••

••• Locked

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Search this name across graphsid dfx:ria:a862a73c-861d-0aad-b0bb-5c57b15b1354

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 11, 1997 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•••••• A•••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 11, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• A•••••••	Bd affiliated wealth	Jan 11, 2024	n/a	yes	Rochester, NY	Current employment
L•••••• I•••••••••	Independent wealth	Mar 25, 2021	n/a	yes	Fort Washington, PA\|ROCHESTER, NY	Current employment

Relationships

Registered with (2)

→ C•••••• A•••••••Registered adviserregistration: current employment
Jan 11, 2024 to presentfactForm ADV
→ L•••••• I•••••••••Registered adviserregistration: current employment
Mar 25, 2021 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a862a73c-861d-0aad-b0bb-5c57b15b1354
First observed: Apr 11, 1997
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.