R• C•••• N••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

Portsmouth, NH | STAMFORD, CT

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:1c8e400a-546c-97e6-b457-a374a8b45e30

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2006 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: S•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 17, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Apr 7, 2016	n/a	yes	STAMFORD, CT\|Portsmouth, NH	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Nov 23, 2015	Dec 8, 2016	no	PORTSMOUTH, NH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S•••••• P••••••• I••••••••• A•••••••• L••	Dec 8, 2016	Apr 7, 2016	-245	Firm change after gap	Other
O••••••••• • C•• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Nov 17, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
149018:283004:NH:2016-12-08	Dec 8, 2016	Apr 7, 2016	PORTSMOUTH, NH	Firm change after gap

Relationships

Registered with (5)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 7, 2016 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 23, 2015 to Dec 8, 2016factForm ADV
→ O••••••••• • C•• I•••Registered adviserregistration: previous registration
Jul 13, 2010 to Nov 17, 2015factForm ADV
→ M••••• S•••••• • C•• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c8e400a-546c-97e6-b457-a374a8b45e30
First observed: Jan 20, 2006
Last observed: Sep 14, 2026 9 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.