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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

M•••••• W•••••• R••••

Advisor at O•••• I••••••••• I•••

WEST HURLEY, NY | Kingston, NY | Hyde Park, NY | KINGSTON, NY

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Search this name across graphsid dfx:ria:adf91824-d53d-7739-a898-88ddd94db7ae

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 7, 2002 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 20, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Jul 1, 2016	n/a	yes	KINGSTON, NY\|Hyde Park, NY\|Kingston, NY\|WEST HURLEY, NY\|KINGSTON, NY	Current employment
E•••• N••••••• S••••••••• I•••	Former SEC adviser	Nov 4, 2009	Jul 1, 2016	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E•••• N••••••• S••••••••• I•••	O•••• I••••••••• I•••	Jul 1, 2016	Jul 1, 2016	0	Bulk transfer	Other
B•••••••• F••• A•••••••	E•••• N••••••• S••••••••• I•••	Apr 8, 2009

Relationships

Registered with (4)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Jul 1, 2016 to presentfactForm ADV
→ E•••• N••••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 4, 2009 to Jul 1, 2016factForm ADV
→ B•••••••• F••• A•••••••Registered adviserregistration: previous registration
Oct 10, 2007 to Apr 8, 2009factForm ADV
→ I•••••• A•• P•••••• A•••• M••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:adf91824-d53d-7739-a898-88ddd94db7ae
First observed: Jun 7, 2002
Last observed: Sep 15, 2026 7 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.