DFX Intelligence

T••• A•••••••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)31 years in industry

T••• A•••••••• D••••••

Advisor at O•••• W•••••• I•••

FALMOUTH, MA

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Search this name across graphsid dfx:ria:26e15f31-8b45-c99a-1603-2046096e9680

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

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 24, 1997 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 8, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Sep 1, 2023	n/a	yes	FALMOUTH, MA	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	May 23, 2017	Sep 1, 2023	no	FALMOUTH, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
T••• A• D••••••• C••	S•••••••• F••••••••• I•••	Mar 26, 2019	May 23, 2017

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
May 23, 2017 to Sep 1, 2023factForm ADV
→ T••• A• D••••••• C••Registered adviserregistration: previous registration
Jun 24, 1997 to Mar 26, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:26e15f31-8b45-c99a-1603-2046096e9680
First observed: Jun 24, 1997
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.