DFX Intelligence

D•••• S•••• F•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)41 years in industry

D•••• S•••• F•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Rochester, NY | Pittsford, NY

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Search this name across graphsid dfx:ria:afc45026-f2bc-9efc-53b7-bb687a2c3e12

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 26, 2007 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 23, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 16, 2025	n/a	yes	Rochester, NY\|Pittsford, NY	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Oct 28, 2022	Jul 23, 2025	no	Pittsford, NY\|SAN DIEGO, CA\|PITTSFORD, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 23, 2025	Jul 16, 2025	-7	Firm change	Ibd to ibd
A••••• A•• P••••••• S•••••••	L•• F•••••••• L••	Nov 13, 2020	Oct 28, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
20472:6413:NY:2020-11-13	Nov 13, 2020	Oct 28, 2022	ITHACA, NY	Firm change after gap

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jul 16, 2025 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 28, 2022 to Jul 23, 2025factForm ADV
→ A••••• A•• P••••••• S•••••••Registered adviserregistration: previous registration
Feb 26, 2007 to Nov 13, 2020factForm ADV

Dated events

Occurred
Jul 23, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:afc45026-f2bc-9efc-53b7-bb687a2c3e12
First observed: Feb 26, 2007
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.