DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)47 years in industry

C•••••• D•••• E••••••

Advisor at G••••• R••••••••• P••••••• L••

Longmeadow, MA | SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:6011216b-f71d-a251-eb66-6bdddae17c98

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2006 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: G••••• R••••••••• P••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1979earliest registration or exam on IAPD
Years in industry: 47derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• R••••••••• P••••••• L••	Institutional manager	Jun 7, 2021	n/a	yes	SAN RAFAEL, CA\|Longmeadow, MA	Current employment
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Oct 26, 2009	Jun 4, 2021	no	SPRINGFIELD, MA\|East Longmeadow, MA\|HOLYOKE, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• F•••••••• S•••••••	M•• I•••••••• S•••••••• L••	Dec 6, 2021	Oct 26, 2009	-4,424	Firm change after gap	Other
M•• I•••••••• S•••••••• L••	G••••• R••••••••• P••••••• L••	Jun 4, 2021	Jun 7, 2021

Relationships

Registered with (3)

→ G••••• R••••••••• P••••••• L••Registered adviserregistration: current employment
Jun 7, 2021 to presentfactForm ADV
→ E•••••• F•••••••• S•••••••Registered adviserregistration: previous registration
Apr 21, 2006 to Dec 6, 2021factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 26, 2009 to Jun 4, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6011216b-f71d-a251-eb66-6bdddae17c98
First observed: Apr 21, 2006
Last observed: Sep 15, 2026 7 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.