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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)28 years in industry

S••• S•••• S•••

Advisor at O•••• W•••••• I•••

BURLINGTON, MA

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Search this name across graphsid dfx:ria:41fa082d-8e8d-87f6-3990-7da8a2e344cb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 14, 2004 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 3, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Sep 1, 2023	n/a	yes	BURLINGTON, MA	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Jul 3, 2019	Sep 1, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Sep 1, 2023	Sep 1, 2023	0	Bulk transfer	Ibd to ibd
C•••••• F•••••••• S•••••••• I•••	S•••••••• F••••••••• I•••	Jul 1, 2019

Relationships

Registered with (4)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Sep 1, 2023 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jul 3, 2019 to Sep 1, 2023factForm ADV
→ C•••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 5, 2017 to Jul 1, 2019factForm ADV
→ C••• B•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41fa082d-8e8d-87f6-3990-7da8a2e344cb
First observed: Apr 14, 2004
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.