DFX Intelligence

C•••••• B• L•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor43 years in industry

C•••••• B• L•••••••

Advisor at S••• I••••••••• A••••••• L••

WAPPINGERS FALLS, NY

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Search this name across graphsid dfx:ria:ba4b227f-5d3c-0315-8875-015a60f91a1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2012 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: S••• I••••••••• A••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 4, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••• I••••••••• A••••••• L••	Independent wealth	Oct 1, 2021	n/a	yes	WAPPINGERS FALLS, NY	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 3, 2012	Oct 14, 2021	no	POUGHKEEPSIE, NY\|PURCHASE, NY\|NEW CITY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S••• I••••••••• A••••••• L••	Oct 14, 2021	Oct 1, 2021	-13	Firm change	Wirehouse to RIA

Relationships

Registered with (2)

→ S••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Oct 1, 2021 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 3, 2012 to Oct 14, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba4b227f-5d3c-0315-8875-015a60f91a1f
First observed: Feb 3, 2012
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.