D•••••• P•••••

Advisor at C••• L••

••• Locked

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:502835a8-2fc0-43a5-cee2-0bb1605b51a3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2015 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: C••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 20, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Oct 22, 2020	n/a	yes	Westborough, MA\|Providence, RI\|OMAHA, NE\|Waltham, MA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	Oct 26, 2020	no	NEEDHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• I•••••••• S•••••••• L••	C••• L••	Oct 26, 2020	Oct 22, 2020	-4	Firm change	Ibd to ibd
M••••••	M•• I•••••••• S•••••••• L••	Feb 1, 2018	Mar 25, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
10409:155344:MA:2020-10-26	Oct 26, 2020	Oct 22, 2020	NEEDHAM, MA	Firm change
14251:151664:MA:2017-03-25	Mar 25, 2017	Aug 22, 2016	WELLESLEY, MA	Firm change after gap
110826:14251:MA:2016-08-15	Aug 15, 2016	Aug 10, 2016	WALTHAM, MA	Firm change

Relationships

Registered with (6)

→ C••• L••Registered adviserregistration: current employment
Oct 22, 2020 to presentfactForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 25, 2017 to Oct 26, 2020factForm ADV
→ M••••••Registered adviserregistration: previous registration
Aug 22, 2016 to Feb 1, 2018factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:502835a8-2fc0-43a5-cee2-0bb1605b51a3
First observed: Feb 17, 2015
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.