DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

A•••••• V••• D••••••

Advisor at W•••• F•••• A•••••••

NORTH ANDOVER, MA | BOSTON, MA

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Search this name across graphsid dfx:ria:5d645864-4300-6801-b976-76ccc47e5147

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 3, 2000 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•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: May 14, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Feb 1, 2016	n/a	yes	BOSTON, MA\|NORTH ANDOVER, MA	Current employment
C••••• S••••• S••••••••• •••• L••	Former SEC adviser	Mar 10, 2009	Mar 2, 2016	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• S••••• S••••••••• •••• L••	W•••• F•••• A•••••••	Mar 2, 2016	Feb 1, 2016	-30	Bulk transfer	Other
B••• O• A•••••• I••••••••• S•••••••• I•••	C••••• S••••• S••••••••• •••• L••	Mar 9, 2009	Mar 10, 2009

Relationships

Registered with (5)

→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
May 3, 2000 to Apr 21, 2003factForm ADV
→ C••••• S••••• S••••••••• •••• L••Registered adviserregistration: previous registration
Mar 10, 2009 to Mar 2, 2016factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2004 to Mar 9, 2009factForm ADV
→ Q•••• • R•••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5d645864-4300-6801-b976-76ccc47e5147
First observed: May 3, 2000
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.