DFX Intelligence
Reading the graph
Reading the graph
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Advisor at B•••••• F••••• • S•••••• I••
HARTFORD, CT | Portland, ME
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| B•••••• F••••• • S•••••• I•• | Independent wealth | Oct 15, 2025 | n/a | yes | HARTFORD, CT|Portland, ME | Current employment |
| R•••• C••••••• L•• | Former SEC adviser | Nov 3, 2020 | Dec 10, 2021 | no | BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| R•••• C••••••• L•• | B•••••• F••••• • S•••••• I•• | Dec 10, 2021 | Oct 15, 2025 | 1,405 | Firm change after gap | RIA to RIA |
| W•••••••• I••••••••• P•••••••• L•• | R•••• C••••••• L•• | Apr 15, 2020 | Nov 3, 2020 |
| W•••••••• I••••••••• P•••••••• L•• | Former SEC adviser | Sep 20, 2016 | Apr 15, 2020 | no | W••••••••, MA | Previous registration |
| W•••••••• I••••••••• M••••••••• I••• | Former SEC adviser | Nov 10, 2010 | Jul 24, 2014 | no | BOSTON, MA | Previous registration |
| W••••••• I••••••••• M••••••••• I•• | n/a | Aug 17, 2004 | Nov 18, 2010 | no | BOSTON, MA | Previous registration |
| 202 |
| Firm change |
| RIA to RIA |
| W•••••••• I••••••••• M••••••••• I••• | W•••••••• I••••••••• P•••••••• L•• | Jul 24, 2014 | Sep 20, 2016 | 789 | Firm change after gap | Other |
| W••••••• I••••••••• M••••••••• I•• | W•••••••• I••••••••• M••••••••• I••• | Nov 18, 2010 | Nov 10, 2010 | -8 | Firm change | Other |