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

N•••••• R••••• C••••••

T••••••• W••••• S••••••••independent RIASaratoga Springs, NyIA-onlyIAPD 7799432

Feed of 09/14/2026

Also filed as N•••••• C••••••

At current firm

0 y

since Mar 16, 2026

In the industry

10 y

since Sep 1, 2016 (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

T••••••• W••••• S•••••••• independent RIA current
since Mar 16, 2026 · Saratoga Springs, Ny
E•••• S••••••••• L•• BD affiliated
May 2, 2025 to Mar 17, 2026 · Saratoga Springs, Ny
E•••••••• A•••••••• L•• national BD
Nov 16, 2023 to Mar 21, 2025 · Malta, Ny

Moves

a registration end followed by a registration begin elsewhere

E•••• S••••••••• L•• to T••••••• W••••• S••••••••
left Mar 17, 2026, registered Mar 16, 2026 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
E•••••••• A•••••••• L•• to E•••• S••••••••• L••
left Mar 21, 2025, registered May 2, 2025 (42 days) · Affiliated broker-dealer or bank to another

Signals

N•••••• R••••• C•••••• left E•••• S••••••••• L•• for T••••••• W••••• S•••••••• (registered 2026-03-16)
Mar 17, 2026 · Advisor changed firm · fact
N•••••• R••••• C•••••• left E•••••••• A•••••••• L•• for E•••• S••••••••• L•• (registered 2025-05-02)
Mar 21, 2025 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address