DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

S•••••••• M•••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

PROVIDENCE, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:486d5896-c4b5-5fbc-1032-a6542c686b4c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Mar 19, 2019 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 6, 2026	n/a	yes	PROVIDENCE, RI	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jun 24, 2024	Jan 16, 2026	no	PROVIDENCE, RI\|Wakefield, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jan 16, 2026	Jan 6, 2026	-10	Firm change	Wirehouse to wirehouse
O•••• I••••••••• I•••	U•• F•••••••• S••••••• I•••	May 6, 2024	Jun 24, 2024

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:7691:RI:2026-01-13	Jan 16, 2026	Jan 6, 2026	WAKEFIELD, RI	Firm change

Relationships

Registered with (4)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Jan 6, 2026 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jun 24, 2024 to Jan 16, 2026factForm ADV
→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
May 19, 2023 to May 6, 2024factForm ADV
→ P••••••••• P••••••• G••••

Dated events

Occurred
Jan 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:486d5896-c4b5-5fbc-1032-a6542c686b4c
First observed: Mar 19, 2019
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.