DFX Intelligence

S••••• M••• B••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)47 years in industry

S••••• M••• B••••••••

Advisor at C••••• I••••••••• A••••••• L••

WESTBROOK, ME

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Search this name across graphsid dfx:ria:293a262f-5e43-83d8-b556-a7406824aeb7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 2, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	WESTBROOK, ME	Current employment
I•••••••• C•••••• A•••••••	Former SEC adviser	Jun 16, 2005	Oct 3, 2016	no	SCARBOROUGH, ME\|SCARBOROUGH, ME\|LYNNFIELD, MA\|LYNNFIELD, MA\|CUMBERLAND CENTER, ME

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• C•••••• A•••••••	C••••• I••••••••• A••••••• L••	Oct 3, 2016	Mar 21, 2024	2,726	Bulk transfer	Other
E•••••• P•••• A••••••• I•••	I•••••••• C•••••• A•••••••	Jun 16, 2005	Jun 16, 2005

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Jun 16, 2005 to Oct 3, 2016factForm ADV
→ E•••••• P•••• A••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2002 to Jun 16, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:293a262f-5e43-83d8-b556-a7406824aeb7
First observed: Jul 2, 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.