DFX Intelligence

C•••• A••••• R••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor15 years in industry

C•••• A••••• R••••••

Advisor at S•• W••••• M••••••••• L••

PLYMOUTH, MA

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Search this name across graphsid dfx:ria:3588ef61-d802-c909-66d4-0d872a558b1f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 21, 2020 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: S•• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• W••••• M••••••••• L••	Independent wealth	Jan 22, 2021	n/a	yes	PLYMOUTH, MA	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jul 21, 2020	Nov 23, 2020	no	WALTHAM, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	S•• W••••• M••••••••• L••	Nov 23, 2020	Jan 22, 2021	60	Firm change	Ibd to RIA

Relationships

Registered with (2)

→ S•• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 22, 2021 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jul 21, 2020 to Nov 23, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3588ef61-d802-c909-66d4-0d872a558b1f
First observed: Jul 21, 2020
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.