DFX Intelligence

D•• M•••••• 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

D•• M•••••• S•••

Advisor at N•••••••• P••••••• A••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:2a6ecf57-2926-9983-f8f1-8625ca7f11e9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Nov 21, 1996 to Sep 15, 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: N•••••••• P••••••• A••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jul 27, 2007	n/a	yes	ROCHESTER, NH\|NEWINGTON, NH	Current employment
N•••••••• P••••••• A••••••••• I•••	Independent wealth	Jul 23, 2004	n/a	yes	NEWINGTON, NH\|BEDFORD, NH	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• C•••••••••	N•••••••• P••••••• A••••••••• I•••	Sep 29, 2004	Jul 23, 2004	-68	Firm change after gap	Other
V••••••• I••••••••• A•••••••• I•••	M••••• S•••••• C•••••••••	Nov 13, 2003	Jan 15, 2004

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 27, 2007 to presentfactForm ADV
→ N•••••••• P••••••• A••••••••• I•••Registered adviserregistration: current employment
Jul 23, 2004 to presentfactForm ADV
→ M••••• S•••••• C•••••••••Registered adviserregistration: previous registration
Jan 15, 2004 to Sep 29, 2004factForm ADV
→ V••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2a6ecf57-2926-9983-f8f1-8625ca7f11e9
First observed: Nov 21, 1996
Last observed: Sep 15, 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.