DFX Intelligence

D••••• O••••• B•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner42 years in industry

D••••• O••••• B•••••

Advisor at A•••••••• A•••••••• L••

GLENS FALLS, NY | DOYLESTOWN, PA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 9, 2003 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: A•••••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 24, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••••••• A•••••••• L••	Independent wealth	Feb 25, 2015	n/a	yes	GLENS FALLS, NY\|DOYLESTOWN, PA\|DOYLESTOWN, PA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Sep 16, 2005	Jul 24, 2012	no	NEW YORK, NY\|NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	A•••••••• A•••••••• L••	Jul 24, 2012	Feb 25, 2015	946	Firm change after gap	Other
C•••••••• G••••• M•••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Sep 27, 2005

Relationships

Registered with (3)

→ A•••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 25, 2015 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 16, 2005 to Jul 24, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 9, 2003 to Sep 27, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 9, 2003
Last observed: Sep 14, 2026 10 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.