DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor34 years in industry

S••••• A•••••• D•••••••

Advisor at E•••••• F•••••••• E••••••

••• 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:6af75c7e-41ea-72da-1c27-58595eb82840

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 26, 2000 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: E•••••• F•••••••• E••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 26, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• F•••••••• E••••••	Independent wealth	Dec 7, 2023	n/a	yes	PROVIDENCE, RI\|HAMPSTEAD, NH\|NAPLES, FL	Current employment
N•• E•••••• I••••••••• C••••••••• L•••	Former SEC adviser	Dec 18, 2006	Dec 15, 2023	no	PROVIDENCE, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• E•••••• I••••••••• C••••••••• L•••	E•••••• F•••••••• E••••••	Dec 15, 2023	Dec 7, 2023	-8	Firm change	RIA to RIA
N•• E•••••• S••••••••• C•••••••••	N•• E•••••• I••••••••• C••••••••• L•••	Nov 22, 2006	Dec 18, 2006

Relationships

Registered with (3)

→ E•••••• F•••••••• E••••••Registered adviserregistration: current employment
Dec 7, 2023 to presentfactForm ADV
→ N•• E•••••• I••••••••• C••••••••• L•••Registered adviserregistration: previous registration
Dec 18, 2006 to Dec 15, 2023factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Sep 26, 2000 to Nov 22, 2006factForm ADV

Dated events

Occurred
Dec 15, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6af75c7e-41ea-72da-1c27-58595eb82840
First observed: Sep 26, 2000
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.