DFX Intelligence

A••• L•• S••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)37 years in industry

A••• L•• S••••••••

Advisor at M•• I•••••••• S•••••••• L••

NEWBURYPORT, MA

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Search this name across graphsid dfx:ria:27844898-72d5-56a2-517f-ed9f5c0c56f6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 22, 2015 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 24, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jun 13, 2017	n/a	yes	NEWBURYPORT, MA	Current employment
M••••••	Independent wealth	Jan 22, 2015	Apr 5, 2018	no	SOUTHBOROUGH, MA\|OVERLAND PARK,, KS	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••	M•• I•••••••• S•••••••• L••	Apr 5, 2018	Jun 13, 2017	-296	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
151664:10409:KS:2018-04-05	Apr 5, 2018	Jun 13, 2017	OVERLAND PARK,, KS	Firm change after gap

Relationships

Registered with (2)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 13, 2017 to presentfactForm ADV
→ M••••••Registered adviserregistration: previous registration
Jan 22, 2015 to Apr 5, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27844898-72d5-56a2-517f-ed9f5c0c56f6
First observed: Jan 22, 2015
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.