DFX Intelligence

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

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RIA / WealthAdvisor39 years in industry

D•••• R•••• D••••••

Advisor at G•••• S••••• W••••• A•••••••• L••

NORTH KINGSTON, RI

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Search this name across graphsid dfx:ria:40c89d73-ba38-6302-40d9-572619d15f4a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 26, 2007 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•••• S••••• W••••• A•••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: May 11, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••• S••••• W••••• A•••••••• L••	State registered	Jan 1, 2026	n/a	yes	NORTH KINGSTON, RI	Current employment
S• A•••••••• L••	Independent wealth	Dec 4, 2015	Feb 8, 2018	no	ATLANTA, GA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S• A•••••••• L••	G•••• S••••• W••••• A•••••••• L••	Feb 8, 2018	Jan 1, 2026	2,884	Firm change after gap	Other
S••••• F•••••••• G•••• I••	S• A•••••••• L••	Dec 10, 2015	Dec 4, 2015

Relationships

Registered with (4)

→ G•••• S••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jan 1, 2026 to presentfactForm ADV
→ S• A•••••••• L••Registered adviserregistration: previous registration
Dec 4, 2015 to Feb 8, 2018factForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Mar 23, 2015 to Dec 10, 2015factForm ADV
→ O••••••••• • C•• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40c89d73-ba38-6302-40d9-572619d15f4a
First observed: Sep 26, 2007
Last observed: Sep 14, 2026 9 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.