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T••••• E• C•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

T••••• E• C•••••••••

Advisor at C••••••• S••••••••• I•••

MARSTONS MILLS, MA | OSTERVILLE, MA | HYANNIS, MA | JOHNSTON, RI | SO. DENNIS, 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:0533653a-8562-7978-902a-7cccadfe2822

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 13, 2000 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: C••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 12, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	Mar 18, 2021	n/a	yes	JOHNSTON, RI\|SO. DENNIS, MA\|MARSTONS MILLS, MA\|HYANNIS, MA\|OSTERVILLE, MA	Current employment
E•••• S••••••••• L••	Bd affiliated wealth	Feb 23, 2017	Mar 26, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E•••• S••••••••• L••	C••••••• S••••••••• I•••	Mar 26, 2021	Mar 18, 2021	-8	Firm change	Ibd to ibd
A••••••••• F•••••••• S•••••••• L••	E•••• S••••••••• L••	Nov 12, 2015

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
112097:6363:FL:2015-08-14	Aug 14, 2015	Aug 27, 2015	TAMPA, FL	Firm change

Relationships

Registered with (6)

→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
Mar 18, 2021 to presentfactForm ADV
→ E•••• S••••••••• L••Registered adviserregistration: previous registration
Feb 23, 2017 to Mar 26, 2021factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 27, 2015 to Nov 12, 2015factForm ADV
→ J•• C•••••• A•••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0533653a-8562-7978-902a-7cccadfe2822
First observed: Oct 13, 2000
Last observed: Sep 15, 2026 7 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.