DFX Intelligence

S•••••• D•••• A••••: 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)31 years in industry

S•••••• D•••• A••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

Wellesley, MA | BOSTON, MA

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:03c6d770-a96f-514d-0088-186cf4b36edc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 12, 2002 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Mar 8, 2018	n/a	yes	BOSTON, MA\|Wellesley, MA	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Oct 1, 2012	Aug 15, 2016	no	BOSTON, MA\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Aug 15, 2016	Mar 8, 2018	570	Firm change after gap	Ibd to ibd
O••••••••• • C•• I•••	R•• C•••••• M••••••• L••	Oct 1, 2012	Oct 1, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
31194:793:MA:2016-08-15	Aug 15, 2016	Mar 8, 2018	BOSTON, MA	Firm change after gap

Relationships

Registered with (5)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Mar 8, 2018 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Oct 1, 2012 to Aug 15, 2016factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Nov 10, 2009 to Oct 1, 2012factForm ADV
→ C••••• S••••• S••••••••• •••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:03c6d770-a96f-514d-0088-186cf4b36edc
First observed: Jul 12, 2002
Last observed: Sep 15, 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.