DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultant42 years in industry

A••••• K••• F•• L•

Advisor at I••••••••• W••••• C••••••• L••

WALTHAM, MA

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Search this name across graphsid dfx:ria:289afc6f-003b-51a1-b1f3-099c4b536b0f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 12, 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: I••••••••• W••••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Sep 7, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• W••••• C••••••• L••	Independent wealth	Oct 17, 2016	n/a	yes	WALTHAM, MA	Current employment
O•••• F•• I•••	Former SEC adviser	Mar 13, 2009	Oct 11, 2016	no	WALTHAM, MA\|FORT WAYNE, IN\|WALTHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	I••••••••• W••••• C••••••• L••	Oct 11, 2016	Oct 17, 2016	6	Bulk transfer	Other
O•••• F•• I•••	O•••• F•• I•••	May 29, 2009	Mar 13, 2009

Relationships

Registered with (3)

→ I••••••••• W••••• C••••••• L••Registered adviserregistration: current employment
Oct 17, 2016 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Mar 13, 2009 to Oct 11, 2016factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Mar 12, 2007 to May 29, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:289afc6f-003b-51a1-b1f3-099c4b536b0f
First observed: Mar 12, 2007
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.