DFX Intelligence

P••• S••••••• C•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

P••• S••••••• C•••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Ipswich, MA

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Search this name across graphsid dfx:ria:1dfba173-9656-8877-ba00-8dbe84dbf3bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 7, 2005 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 10, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Nov 29, 2017	n/a	yes	Ipswich, MA	Current employment
A•••• A•••••••• L••	State registered	Apr 13, 2018	Jan 3, 2024	no	Ipswich, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• A•••••••• L••	n/a	Jan 3, 2024	n/a	n/a	Departure no registered destination	Departure
O•••• F•• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Dec 7, 2017	Nov 29, 2017	-8

Team moves

••• Locked

Team	Left	Joined	From	Kind
3870:134139:MA:2017-12-06	Dec 7, 2017	Nov 29, 2017	BRADFORD, MA	Firm change

Relationships

Registered with (5)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ A•••• A•••••••• L••Registered adviserregistration: previous registration
Apr 13, 2018 to Jan 3, 2024factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Oct 5, 2007 to Dec 7, 2017factForm ADV
→ S••••••• F•••••••• S•••••••• I•••

Dated events

Occurred
Jan 3, 2024
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1dfba173-9656-8877-ba00-8dbe84dbf3bd
First observed: Jul 7, 2005
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.