DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

N••••••• B•••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphs

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 1:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2008 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 21, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	FULTON, NY\|FULTON, NY	Current employment
A•••••• P••••••• P•••••••• I•••	Bd affiliated wealth	May 9, 2023	n/a	yes	Fulton, NY\|DUBUQUE, IA\|Fulton, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• A••••••• S•••••••	A•••••• P••••••• P•••••••• I•••	Sep 5, 2025	May 9, 2023	-850	Channel change	Ibd to ibd
R••••• C•••••••• A•••• M••••••••• I••	A•••••• A••••••• S•••••••	Feb 21, 2018	May 9, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
104556:106237:NY:2025-09-05	Sep 5, 2025	May 9, 2023	FULTON, NY	Firm change after gap

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• P••••••• P•••••••• I•••Registered adviserregistration: current employment
May 9, 2023 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
May 9, 2023 to Sep 5, 2025factForm ADV
→ R••••• C•••••••• A•••• M••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 9, 2008
Last observed: Sep 15, 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.