DFX Intelligence

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

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RIA / WealthAdvisor23 years in industry

C•••• A•• C•••••

Advisor at L••• L••••• I••••••••• S•••••••• L••

OSTERVILLE, MA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 4, 2002 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: L••• L••••• I••••••••• S•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 31, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••• L••••• I••••••••• S•••••••• L••	Independent wealth	Oct 7, 2013	n/a	yes	OSTERVILLE, MA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Nov 4, 2002	Apr 22, 2008	no	HYANNIS, MA\|HYANNIS, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	L••• L••••• I••••••••• S•••••••• L••	Apr 22, 2008	Oct 7, 2013	1,994	Firm change after gap	Other

Relationships

Registered with (2)

→ L••• L••••• I••••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 7, 2013 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 4, 2002 to Apr 22, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 4, 2002
Last observed: Sep 14, 2026 10 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.