DFX Intelligence

R•••••• M•••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)38 years in industry

R•••••• M•••••• W••••

Advisor at O•••• W•••••• I•••

BEDFORD, NH

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Search this name across graphsid dfx:ria:19fe1897-d12b-429f-ae1d-f7d4a70f0e67

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 2, 1999 to Sep 14, 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 12, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Jan 24, 2025	n/a	yes	BEDFORD, NH	Current employment
O•••• F•• I•••	Former SEC adviser	Jun 11, 2008	Jan 24, 2025	no	BEDFORD, NH\|BEDFORD, NH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	O•••• W•••••• I•••	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
I•••••••• C•••••• A•••••••	O•••• F•• I•••	May 20, 2008	Jun 11, 2008

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Jan 24, 2025 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Jun 11, 2008 to Jan 24, 2025factForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Jan 12, 2005 to May 20, 2008factForm ADV
→ E•••••• P•••• A••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19fe1897-d12b-429f-ae1d-f7d4a70f0e67
First observed: Jun 2, 1999
Last observed: Sep 14, 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.