DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

S•••••• L•••• C•••••

Advisor at C••••• M••••• • C••• I•••

UTICA, NY

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Search this name across graphsid dfx:ria:e4a9e193-497a-b8e0-f971-5d0dbab52694

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 1, 1996 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••••• M••••• • C••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Current registrations: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E••••• R••••••••• P••••• L••	State registered	Mar 26, 2025	n/a	yes	UTICA, NY	Current employment
C••••• M••••• • C••• I•••	Independent wealth	Jul 2, 2021	n/a	yes	UTICA, NY	Current employment

Relationships

Registered with (3)

→ E••••• R••••••••• P••••• L••Registered adviserregistration: current employment
Mar 26, 2025 to presentfactForm ADV
→ C••••• M••••• • C••• I•••Registered adviserregistration: current employment
Jul 2, 2021 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: current employment
Apr 26, 2021 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4a9e193-497a-b8e0-f971-5d0dbab52694
First observed: Mar 1, 1996
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.