DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)51 years in industry

S•••• R••••• P•••••••

Advisor at W••••••••• S•••••• • C••• L••

••• Locked

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Search this name across graphsid dfx:ria:4cb0e0bd-20d6-69d9-4dbd-5db806f6caf5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2006 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: W••••••••• S•••••• • C••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1975earliest registration or exam on IAPD
Years in industry: 51derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• S•••••• • C••• L••	Independent wealth	Mar 26, 2010	n/a	yes	NEW YORK, NY\|Hawley, MA\|Shelburne Falls, MA	Current employment
H• G• W••••••••• • C••• I•••	n/a	Feb 22, 2006	Dec 31, 2010	no	NEW YORK, NY\|HAWLEY, MA\|NEW YORK, NY\|HAWLEY, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H• G• W••••••••• • C••• I•••	W••••••••• S•••••• • C••• L••	Dec 31, 2010	Mar 26, 2010	-280	Firm change after gap	Other

Relationships

Registered with (2)

→ W••••••••• S•••••• • C••• L••Registered adviserregistration: current employment
Mar 26, 2010 to presentfactForm ADV
→ H• G• W••••••••• • C••• I•••Registered adviserregistration: previous registration
Feb 22, 2006 to Dec 31, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4cb0e0bd-20d6-69d9-4dbd-5db806f6caf5
First observed: Feb 22, 2006
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.