DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

S••••••• B•••••• B•••••••

Advisor at L••••••• S••••••••• C••••

PLEASANT VALLEY, NY | ROCHESTER, NY

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Search this name across graphsid dfx:ria:ceca2f19-c521-72fe-f9ff-cb7ce959839e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 30, 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: L••••••• S••••••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 21, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• S••••••••• C••••	Bd affiliated wealth	Jul 2, 2024	n/a	yes	PLEASANT VALLEY, NY\|ROCHESTER, NY	Current employment
P•••• S••••••••• L••	No RAUM reported	Jan 30, 2023	Jul 17, 2024	no	Pleasant Valley, NY\|White Plains, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	L••••••• S••••••••• C••••	Jul 17, 2024	Jul 2, 2024	-15	Firm change	Ibd to ibd
E•• F•••••••• A•••••••	P•••• S••••••••• L••	Dec 31, 2022	Jan 30, 2023

Relationships

Registered with (4)

→ L••••••• S••••••••• C••••Registered adviserregistration: current employment
Jul 2, 2024 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
Jan 30, 2023 to Jul 17, 2024factForm ADV
→ E•• F•••••••• A•••••••Registered adviserregistration: previous registration
Sep 18, 2017 to Dec 31, 2022factForm ADV
→ C••••••••• F•••••••• N••••••

Dated events

Occurred
Jul 17, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ceca2f19-c521-72fe-f9ff-cb7ce959839e
First observed: Aug 30, 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.