DFX Intelligence

W••••• R•••••• M••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

W••••• R•••••• M••

Advisor at M•• I•••••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:4018110c-ceba-4a16-6614-6aa3321b0044

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2013 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 13, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	n/a	yes	OSTERVILLE, MA\|Osterville, MA\|BONITA SPRINGS, FL\|NAPLES, FL	Current employment
M••••••	Independent wealth	Mar 2, 2015	Feb 1, 2018	no	OVERLAND PARK,, KS\|Boston, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••	M•• I•••••••• S•••••••• L••	Feb 1, 2018	Mar 25, 2017	-313	Bulk transfer	Other
M•• F•••••••• S•••••••• I•••	M••••••	Mar 25, 2017	Mar 2, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
14251:151664:MA:2017-03-25	Mar 25, 2017	Mar 2, 2015	BOSTON, MA	Firm change after gap
2881:14251:MA:2015-02-12	Feb 12, 2015	Feb 20, 2015	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ M••••••Registered adviserregistration: previous registration
Mar 2, 2015 to Feb 1, 2018factForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Feb 20, 2015 to Mar 25, 2017factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4018110c-ceba-4a16-6614-6aa3321b0044
First observed: Jan 4, 2013
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.