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R•••••• A•••• B•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

R•••••• A•••• B•••

Advisor at W•••• F•••• A•••••••

WALTHAM, 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:19c864ea-c07a-f155-d26c-099fae199db9

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 3
On other graphs: 0
Observed: Aug 29, 2016 to Sep 18, 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

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
W•••• F•••• A•••••••	Wirehouse	Sep 11, 2026	n/a	yes	WALTHAM, MA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 2, 2021	Sep 10, 2026	no	Boston, MA\|Newton, MA\|Wellesley Hills, MA

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
A••••••••• F•••••••• S•••••••• L••	W•••• F•••• A•••••••	Sep 10, 2026	Sep 11, 2026	1	Firm change	Ibd to wirehouse
J••••• M••••••••• S•••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 21, 2021

Team moves

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

Team	Left	Joined	From	Kind
6363:19616:MA:2026-09-10	Sep 10, 2026	Sep 11, 2026	WELLESLEY HILLS, MA	Firm change
463:6363:MA:2021-07-21	Jul 21, 2021	Jul 2, 2021	BOSTON, MA	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 11, 2026 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 2, 2021 to Sep 10, 2026factForm ADV
→ J••••• M••••••••• S•••• L••Registered adviserregistration: previous registration
Aug 29, 2016 to Jul 21, 2021factForm ADV

Dated events

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

Occurred
Sep 10, 2026
Advisor changed firm
R•••••• A•••• B••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2026-09-11)
Form ADVobserved 7 days ago

Show 2 bookkeeping events

Occurred
Sep 17, 2026
R•••••• A•••• B••• added a NJ registration at W•••• F•••• A•••••••
Occurred
Sep 11, 2026
R•••••• A•••• B••• added a TX registration at W•••• F•••• A•••••••

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19c864ea-c07a-f155-d26c-099fae199db9
First observed: Aug 29, 2016
Last observed: Sep 18, 2026 4 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.