DFX Intelligence

T••••• F•••••• N••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

T••••• F•••••• N••

Advisor at G•••••••• F•••••••• A•••••••• L••

Wakefield, MA

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Search this name across graphsid dfx:ria:379f93d2-f48e-06d8-7ba9-6b983b8d291a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 5, 1997 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: G•••••••• F•••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jul 30, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••••••• F•••••••• A•••••••• L••	Institutional manager	Jul 26, 2023	n/a	yes	Wakefield, MA	Current employment
F••••••• L••	Former SEC adviser	Nov 7, 2017	May 19, 2023	no	Wakefield, MA\|BURNSVILLE, MN	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• P•••• R••••••••• P•••••••• I•••	N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	Sep 7, 2023	Oct 3, 2007	-5,818	Firm change after gap	Other
F••••••• L••	G•••••••• F•••••••• A•••••••• L••	May 19, 2023	Jul 26, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
116789:29604:MA:2023-09-07	Sep 7, 2023	Oct 3, 2007	WAKEFIELD, MA	Firm change after gap
289863:146509:MN:2023-05-19	May 19, 2023	Jul 26, 2023	BURNSVILLE, MN	Firm change
29604:289863:MA:2017-11-10	Nov 10, 2017	Nov 7, 2017	WAKEFIELD, MA	Firm change

Relationships

Registered with (4)

→ G•••••••• F•••••••• A•••••••• L••Registered adviserregistration: current employment
Jul 26, 2023 to presentfactForm ADV
→ C•••••• P•••• R••••••••• P•••••••• I•••Registered adviserregistration: previous registration
Mar 5, 1997 to Sep 7, 2023factForm ADV
→ F••••••• L••Registered adviserregistration: previous registration
Nov 7, 2017 to May 19, 2023factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Sep 7, 2023
Advisor changed firm
T••••• F•••••• N•• left C•••••• P•••• R••••••••• P•••••••• I••• for N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• (registered 2007-10-03)
Form ADVobserved 7 days ago
Occurred
May 19, 2023
Advisor changed firm
T••••• F•••••• N•• left F••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2023-07-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:379f93d2-f48e-06d8-7ba9-6b983b8d291a
First observed: Mar 5, 1997
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.