DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner12 years in industry

N•••• R•••• F••••

Advisor at F•••• P••••••• W•••••• L••

ST. LOUIS, MO | LINCOLN, RI

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 4, 2014 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: F•••• P••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 14, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• P••••••• W•••••• L••	Independent wealth	Jul 1, 2024	n/a	yes	ST. LOUIS, MO\|LINCOLN, RI	Current employment
B••••••••• S•••••••• W•••••• L••	Former SEC adviser	Dec 6, 2023	Jul 1, 2024	no	ST LOUIS, MO\|LINCOLN, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••••• S•••••••• W•••••• L••	F•••• P••••••• W•••••• L••	Jul 1, 2024	Jul 1, 2024	0	Bulk transfer	RIA to RIA
B••••• A••••••• G••••• I•••	B••••••••• S•••••••• W•••••• L••	Dec 6, 2023	Dec 6, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
291947:143323:RI:2023-12-06	Dec 6, 2023	Dec 6, 2023	LINCOLN, RI	Firm change

Relationships

Registered with (6)

→ F•••• P••••••• W•••••• L••Registered adviserregistration: current employment
Jul 1, 2024 to presentfactForm ADV
→ B••••••••• S•••••••• W•••••• L••Registered adviserregistration: previous registration
Dec 6, 2023 to Jul 1, 2024factForm ADV
→ B••••• A••••••• G••••• I•••Registered adviserregistration: previous registration
May 11, 2022 to Dec 6, 2023factForm ADV
→ J••• H•••••• I••••••••• M••••••••• L••

Dated events

Order

Occurred
6 Dec 2023
Advisor changed firm
••• Locked
Form ADV
Occurred
22 Apr 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 4, 2014
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.