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

D•••• T••••• C•••••

C••••• P••••••• L••independent RIASaratoga Springs, Ny dual registrantIAPD 4991309

Certified Financial Planner

Feed of 09/14/2026

Also filed as D•••• C•••••

At current firm

2 y

since Feb 14, 2024

In the industry

21 y

since Sep 15, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• P••••••• L•• independent RIA current
since Feb 14, 2024 · New York, Ny
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Oct 24, 2023 to Mar 1, 2024 · Cohoes, Ny
U••••• C•••••• F•••••••• A••••••• independent RIA
Jan 4, 2021 to Oct 24, 2023 · Cohoes, Ny
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Jul 9, 2020 to Dec 23, 2020 · Albany, Ny
M••••• S•••••• D• I••• unclassified
Sep 16, 2005 to Jun 1, 2006 · Saratoga Spr, Ny

Moves

a registration end followed by a registration begin elsewhere

G•••••• S•••• W••••• S•••••••• L••• to C••••• P••••••• L••
left Mar 1, 2024, registered Feb 14, 2024 (-16 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••
left Oct 24, 2023, registered Oct 24, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
G•••••• S•••• W••••• S•••••••• L••• to U••••• C•••••• F•••••••• A•••••••
left Dec 23, 2020, registered Jan 4, 2021 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
M••••• S•••••• D• I••• to G•••••• S•••• W••••• S•••••••• L•••
left Jun 1, 2006, registered Jul 9, 2020 (5152 days) · Other

Signals

D•••• T••••• C••••• left G•••••• S•••• W••••• S•••••••• L••• for C••••• P••••••• L•• (registered 2024-02-14)
Mar 1, 2024 · Advisor changed firm · fact
D•••• T••••• C••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-10-24)
Oct 24, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address