DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

R•••••• M•••••• P••••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

STAMFORD, CT | ANDOVER, MA

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Search this name across graphsid dfx:ria:40461a37-cfac-5cc4-2783-15e92f07235d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2014 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•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 17, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Apr 5, 2016	n/a	yes	ANDOVER, MA\|STAMFORD, CT	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Feb 28, 2014	Dec 8, 2016	no	ANDOVER, MA\|ANDOVER, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S•••••• P••••••• I••••••••• A•••••••• L••	Dec 8, 2016	Apr 5, 2016	-247	Firm change after gap	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
149018:283004:MA:2016-12-08	Dec 8, 2016	Apr 5, 2016	ANDOVER, MA	Firm change after gap

Relationships

Registered with (2)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 5, 2016 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Feb 28, 2014 to Dec 8, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40461a37-cfac-5cc4-2783-15e92f07235d
First observed: Feb 28, 2014
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.