DFX Intelligence

S••••• M• L••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

S••••• M• L••

Advisor at V•••••• A•••••••• I•••

GLOUCESTER, MA | Gloucester, MA

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Search this name across graphsid dfx:ria:05d8e59f-7820-8ae8-ffc0-aaaef7fbac8f

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jan 23, 1995 to Sep 17, 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: V•••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 23, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Current registrations: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••••••• F•••••••• S•••••••• L••	State registered	Mar 13, 2019	n/a	yes	GLOUCESTER, MA	Current employment
V•••••• A•••••••• I•••	Bd affiliated wealth	Nov 2, 2018	n/a	yes	Gloucester, MA	Current employment

Relationships

Registered with (2)

→ B••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 13, 2019 to presentfactForm ADV
→ V•••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 16, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:05d8e59f-7820-8ae8-ffc0-aaaef7fbac8f
First observed: Jan 23, 1995
Last observed: Sep 17, 2026 6 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.