DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)11 years in industry

A••••• R• M•••••••••

Advisor at C••••• A••••••• G••••• L••

CLEARWATER, FL | Newton, 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:213c27ee-1f68-4ba5-8ae0-b7f369413d60

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2015 to Sep 15, 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••••• A••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• A••••••• G••••• L••	Independent wealth	Feb 9, 2021	n/a	yes	CLEARWATER, FL\|Newton, MA	Current employment
L••• S••••• A•••••••• L••	Former SEC adviser	Jan 12, 2021	Nov 3, 2025	no	NEWTON, MA\|AUSTIN, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L••• S••••• A•••••••• L••	C••••• A••••••• G••••• L••	Nov 3, 2025	Feb 9, 2021	-1,728	Firm change after gap	Ibd to RIA
K••••• F••••••••	L••• S••••• A•••••••• L••	Jan 6, 2021	Jan 12, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
167610:131167:TX:2025-11-03	Nov 3, 2025	Feb 9, 2021	AUSTIN, TX	Firm change after gap

Relationships

Registered with (4)

→ C••••• A••••••• G••••• L••Registered adviserregistration: current employment
Feb 9, 2021 to presentfactForm ADV
→ L••• S••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 12, 2021 to Nov 3, 2025factForm ADV
→ K••••• F••••••••Registered adviserregistration: previous registration
Apr 2, 2018 to Jan 6, 2021factForm ADV
→ P••• A••••• S••••••••• L••

Dated events

Occurred
Nov 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:213c27ee-1f68-4ba5-8ae0-b7f369413d60
First observed: Jul 20, 2015
Last observed: Sep 15, 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.