DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner26 years in industry

M•••••• A••• C•••••

Advisor at S••••• W••••• M•••••••••

Rockland, MA | ROCKFORD, IL

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:25a9188a-8363-1e15-96d9-33bb2cad25ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2006 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: S••••• W••••• M•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 31, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• W••••• M•••••••••	Independent wealth	Mar 16, 2026	n/a	yes	ROCKFORD, IL\|Rockland, MA	Current employment
H••••••• F•••••••• S•••••••	Former SEC adviser	Jul 2, 2007	Mar 19, 2026	no	WESTWOOD, MA\|ROCKLAND, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••• F•••••••• S•••••••	S••••• W••••• M•••••••••	Mar 19, 2026	Mar 16, 2026	-3	Firm change	RIA to RIA
S•••••• G•••••• L••	H••••••• F•••••••• S•••••••	Dec 3, 2008	Jul 2, 2007

Team moves

••• Locked

Team	Left	Joined	From	Kind
127268:107271:MA:2026-03-19	Mar 19, 2026	Mar 16, 2026	ROCKLAND, MA	Firm change

Relationships

Registered with (3)

→ S••••• W••••• M•••••••••Registered adviserregistration: current employment
Mar 16, 2026 to presentfactForm ADV
→ H••••••• F•••••••• S•••••••Registered adviserregistration: previous registration
Jul 2, 2007 to Mar 19, 2026factForm ADV
→ S•••••• G•••••• L••Registered adviserregistration: previous registration
Mar 21, 2006 to Dec 3, 2008factForm ADV

Dated events

Occurred
Mar 19, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25a9188a-8363-1e15-96d9-33bb2cad25ab
First observed: Mar 21, 2006
Last observed: Sep 15, 2026 7 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.