DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)38 years in industry

S••• B•••••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

QUEENSBURY, NY | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:d7d7a8bd-3fbb-fcb6-144e-438fb73592ff

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 2, 2001 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 11, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Nov 16, 2023	n/a	yes	QUEENSBURY, NY\|PLYMOUTH, MN	Current employment
A••••••••• R••••••••• S•••••••••	Former SEC adviser	Oct 16, 2019	Dec 8, 2023	no	QUEENSBURY, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• R••••••••• S•••••••••	W••••• E••••••••• A••••••• S•••••••• L••	Dec 8, 2023	Nov 16, 2023	-22	Firm change	RIA to RIA
F•• S••••••••• C•••••••••	A••••••••• R••••••••• S•••••••••	Oct 18, 2010	Oct 16, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
132345:116407:NY:2023-12-08	Dec 8, 2023	Nov 16, 2023	QUEENSBURY, NY	Firm change

Relationships

Registered with (3)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Nov 16, 2023 to presentfactForm ADV
→ A••••••••• R••••••••• S•••••••••Registered adviserregistration: previous registration
Oct 16, 2019 to Dec 8, 2023factForm ADV
→ F•• S••••••••• C•••••••••Registered adviserregistration: previous registration
Oct 2, 2001 to Oct 18, 2010factForm ADV

Dated events

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

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7d7a8bd-3fbb-fcb6-144e-438fb73592ff
First observed: Oct 2, 2001
Last observed: Sep 15, 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.