DFX Intelligence

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

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RIA / WealthAdvisor25 years in industry

S••••• E••••• R••••

Advisor at R•• W••••• P•••••••

BOSTON, MA | Cincinnati, OH

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Search this name across graphsid dfx:ria:4db649a7-5327-7aec-850f-70cf1b020c09

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 26, 2003 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: R•• W••••• P•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jul 12, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• W••••• P•••••••	Independent wealth	Feb 6, 2023	n/a	yes	Cincinnati, OH\|BOSTON, MA	Current employment
P•••••• W••••• A••••••• G••••	Former SEC adviser	Mar 13, 2023	Nov 8, 2023	no	SAN RAFAEL, CA\|Cincinnati, OH\|Newton, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P•••••• W••••• A••••••• G••••	n/a	Nov 8, 2023	n/a	n/a	Departure no registered destination	Departure
U••••• C•••••• F•••••••• A•••••••	R•• W••••• P•••••••	Jan 23, 2023	Feb 6, 2023	14

Relationships

Registered with (5)

→ R•• W••••• P•••••••Registered adviserregistration: current employment
Feb 6, 2023 to presentfactForm ADV
→ P•••••• W••••• A••••••• G••••Registered adviserregistration: previous registration
Mar 13, 2023 to Nov 8, 2023factForm ADV
→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Mar 15, 2019 to Jan 23, 2023factForm ADV
→ L•••• W••••• M••••••••• I•••

Dated events

Occurred
Nov 8, 2023
A•••••• departure
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 23, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4db649a7-5327-7aec-850f-70cf1b020c09
First observed: Jun 26, 2003
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.