DFX Intelligence

M•••••• S••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

M•••••• S••• L••••

Advisor at A••••••••• G•••• L••

Albany, NY

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Search this name across graphsid dfx:ria:b7928f3b-8d15-05b7-4232-c550bd6f5eb6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 12, 2021 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••••••••• G•••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• G•••• L••	Independent wealth	Oct 27, 2023	n/a	yes	Albany, NY	Current employment
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Apr 12, 2021	Nov 1, 2023	no	ALBANY, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	A••••••••• G•••• L••	Nov 1, 2023	Oct 27, 2023	-5	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ A••••••••• G•••• L••Registered adviserregistration: current employment
Oct 27, 2023 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 12, 2021 to Nov 1, 2023factForm ADV

Dated events

Occurred
Nov 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7928f3b-8d15-05b7-4232-c550bd6f5eb6
First observed: Apr 12, 2021
Last observed: Sep 14, 2026 9 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.