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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)14 years in industry

D••••• L•• B••••

Advisor at S•••• R•••• • C••• I•••

ROCHESTER, NY

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Search this name across graphsid dfx:ria:c73c2e04-6de5-acc2-1398-f208d795c2b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Apr 24, 2015 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•••• R•••• • C••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 4, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom 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
S•••• R•••• • C••• I•••	Independent wealth	Jul 15, 2026	n/a	yes	ROCHESTER, NY\|ROCHESTER, NY\|ROCHESTER, NY	Current employment
C••••••••• A•••••••• L••	Independent wealth	Jul 25, 2022	Nov 30, 2022	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
C••••••••• A•••••••• L••	S•••• R•••• • C••• I•••	Nov 30, 2022	Jul 15, 2026	1,323	Firm change after gap	RIA to RIA
L•• F•••••••• L••	C••••••••• A•••••••• L••	Jul 29, 2022

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:136300:NY:2016-09-21	Sep 21, 2016	Sep 21, 2016	HILTON, NY	Firm change

Relationships

Registered with (5)

→ S•••• R•••• • C••• I•••Registered adviserregistration: current employment
Jul 15, 2026 to presentfactForm ADV
→ C••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 25, 2022 to Nov 30, 2022factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jul 7, 2017 to Jul 29, 2022factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
D••••• L•• B•••• left C••••••••• A•••••••• L•• for S•••• R•••• • C••• I••• (registered 2026-07-15)
Form ADVobserved 7 days ago
Occurred
Jul 29, 2022
Advisor changed firm
D••••• L•• B•••• left L•• F•••••••• L•• for C••••••••• A•••••••• L•• (registered 2022-07-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c73c2e04-6de5-acc2-1398-f208d795c2b2
First observed: Apr 24, 2015
Last observed: Sep 14, 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.