DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

M•••••• S••••• W•••••••

Advisor at R•• C•••••• M••••••• L••

SYRACUSE, NY | Baldwinsville, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e5c59bbe-1c5f-437f-7100-4c1a36393178

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2006 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 17, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jan 16, 2026	n/a	yes	SYRACUSE, NY\|Baldwinsville, NY	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 5, 2006	Jan 27, 2026	no	DEWITT, NY\|WEEHAWKEN, NJ\|SYRACUSE, NY\|SYRACUSE, NY\|MELLVILLE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	R•• C•••••• M••••••• L••	Jan 27, 2026	Jan 16, 2026	-11	Firm change	Wirehouse to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:31194:NY:2026-01-27	Jan 27, 2026	Jan 16, 2026	MELLVILLE, NY	Firm change

Relationships

Registered with (2)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jan 16, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jan 5, 2006 to Jan 27, 2026factForm ADV

Dated events

Occurred
Jan 27, 2026
Advisor changed firm
M•••••• S••••• W••••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2026-01-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e5c59bbe-1c5f-437f-7100-4c1a36393178
First observed: Jan 5, 2006
Last observed: Sep 15, 2026 7 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.