DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

S••••• L•••• S••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | ALBANY, NY

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Search this name across graphsid dfx:ria:dc8840cd-675d-8068-534f-eb1c5c0d5e25

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2021 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Sep 30, 2025	n/a	yes	ALBANY, NY\|NEW YORK, NY	Current employment
G•••••••• L••	Former SEC adviser	Dec 1, 2023	Oct 3, 2025	no	ALBANY, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•••••••• L••	C••••• P••••••• L••	Oct 3, 2025	Sep 30, 2025	-3	Bulk transfer	RIA to RIA
G•••••• S•••• W••••• S•••••••• L•••	G•••••••• L••	Nov 29, 2022	Dec 1, 2023

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Sep 30, 2025 to presentfactForm ADV
→ G•••••••• L••Registered adviserregistration: previous registration
Dec 1, 2023 to Oct 3, 2025factForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Jul 20, 2021 to Nov 29, 2022factForm ADV

Dated events

Occurred
Nov 29, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc8840cd-675d-8068-534f-eb1c5c0d5e25
First observed: Jul 20, 2021
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.