DFX Intelligence

M•••••• E••••• V••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

M•••••• E••••• V••••••

Advisor at C••••• P••••••• L••

ALBANY, NY | NEW YORK, NY

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Search this name across graphsid dfx:ria:de1d45f1-924a-1d86-0081-a0c990706642

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2016 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom 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	NEW YORK, NY\|ALBANY, NY	Current employment
G•••••••• L••	Former SEC adviser	Aug 26, 2021	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 8, 2019	Aug 26, 2021

Relationships

Registered with (3)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Sep 30, 2025 to presentfactForm ADV
→ G•••••••• L••Registered adviserregistration: previous registration
Aug 26, 2021 to Oct 3, 2025factForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: previous registration
Nov 23, 2016 to Nov 8, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:de1d45f1-924a-1d86-0081-a0c990706642
First observed: Nov 23, 2016
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.