O•••••• F••••••

Advisor at C••••••• S••••••••• I•••

JOHNSTON, RI | PROVIDENCE, RI

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:25f47d5f-6ed6-862b-edbc-7099c6a36b7a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 8, 2007 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••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 15, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	Jun 30, 2020	n/a	yes	JOHNSTON, RI\|PROVIDENCE, RI\|PROVIDENCE, RI	Current employment
E•••••••• A•••••••• L••	National bd RIA	Aug 29, 2019	Jun 30, 2020	no	WELLESLEY, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• A•••••••• L••	C••••••• S••••••••• I•••	Jun 30, 2020	Jun 30, 2020	0	Firm change	Ibd to ibd
P••••• • R••••	E•••••••• A•••••••• L••	Aug 17, 2007	Aug 29, 2019

Relationships

Registered with (3)

→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
Jun 30, 2020 to presentfactForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 29, 2019 to Jun 30, 2020factForm ADV
→ P••••• • R••••Registered adviserregistration: previous registration
Aug 8, 2007 to Aug 17, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25f47d5f-6ed6-862b-edbc-7099c6a36b7a
First observed: Aug 8, 2007
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.