DFX Intelligence

R••••• K•••••• W••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

R••••• K•••••• W••••••

Advisor at C••••••••• F•••••••• N••••••

Utica, NY | Troy, NY

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Search this name across graphsid dfx:ria:f5cd617e-4c91-1717-bc9e-52a6dad6163c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 19, 2010 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Apr 10, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jan 2, 2025	n/a	yes	Utica, NY\|Troy, NY	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Dec 4, 2017	Jan 9, 2025	no	UTICA, NY\|UTICA, NY\|CAMILLUS, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	C••••••••• F•••••••• N••••••	Jan 9, 2025	Jan 2, 2025	-7	Firm change	Ibd to ibd
A••••••• G•••• F•••••••• S•••••••• L••	O•••• W•••••• I•••	Nov 30, 2021	Dec 4, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:8032:NY:2025-01-09	Jan 9, 2025	Jan 2, 2025	CAMILLUS, NY	Firm change
151451:23131:NY:2021-11-30	Nov 30, 2021	Dec 4, 2017	UTICA, NY	Firm change after gap

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jan 2, 2025 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Dec 4, 2017 to Jan 9, 2025factForm ADV
→ A••••••• G•••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 26, 2014 to Nov 30, 2021factForm ADV

Dated events

Occurred
Jan 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5cd617e-4c91-1717-bc9e-52a6dad6163c
First observed: Mar 19, 2010
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.