DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C•••••••• E•••••••• S•••••

F•••• P••••••• W•••••• L••independent RIAAlbany, NyIA-onlyIAPD 3225261

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••••• E•••••••• Polsinelli

At current firm

2 y

since Jun 3, 2024

In the industry

25 y

since Aug 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• P••••••• W•••••• L•• independent RIA current
since Jun 3, 2024 · Albany, Ny
A•••• P•••••• W••••• M••••••••• L•• former
Jan 10, 2023 to Jul 1, 2024 · Albany, Ny
C•••••• F•••••••• S••••••• L•• former
May 24, 2022 to Jan 9, 2023 · Clifton Park, Ny
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Nov 14, 2017 to Apr 26, 2018 · Albany, Ny

Moves

a registration end followed by a registration begin elsewhere

A•••• P•••••• W••••• M••••••••• L•• to F•••• P••••••• W•••••• L••
left Jul 1, 2024, registered Jun 3, 2024 (-28 days) · RIA to RIA · moved with a team
C•••••• F•••••••• S••••••• L•• to A•••• P•••••• W••••• M••••••••• L••
left Jan 9, 2023, registered Jan 10, 2023 (1 days) · RIA to RIA
G•••••• S•••• W••••• S•••••••• L••• to C•••••• F•••••••• S••••••• L••
left Apr 26, 2018, registered May 24, 2022 (1489 days) · Affiliated broker-dealer or bank to independent RIA

Signals

C•••••••• E•••••••• S••••• left A•••• P•••••• W••••• M••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
Jul 1, 2024 · Advisor changed firm · fact
C•••••••• E•••••••• S••••• left C•••••• F•••••••• S••••••• L•• for A•••• P•••••• W••••• M••••••••• L•• (registered 2023-01-10)
Jan 9, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address