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L••••••• B••••••• D••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

L••••••• B••••••• D••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Damariscotta, ME | Freeport, ME

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:277f2047-3468-4d59-462c-7e122f448f3a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 30, 2002 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 26, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 19, 2020	n/a	yes	Damariscotta, ME\|Freeport, ME	Current employment
W•••• F•••• A•••••••	Wirehouse	Oct 1, 2013	Oct 20, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	A••••••••• F•••••••• S•••••••• L••	Oct 20, 2020	Oct 19, 2020	-1	Firm change	Wirehouse to ibd
R•• C•••••• M••••••• L••	W•••• F•••• A•••••••	Oct 4, 2013

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6363:ME:2020-10-20	Oct 20, 2020	Oct 19, 2020	DAMARISCOTTA, ME	Firm change

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 19, 2020 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Oct 1, 2013 to Oct 20, 2020factForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Dec 1, 2005 to Oct 4, 2013factForm ADV
→ A•••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:277f2047-3468-4d59-462c-7e122f448f3a
First observed: Sep 30, 2002
Last observed: Sep 14, 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.