DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

P••••• B•••• C•••••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

PLYMOUTH, MA

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Search this name across graphsid dfx:ria:6e62e8de-1b21-a6c9-14fa-73b59951a55f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2007 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jun 12, 2019	n/a	yes	PLYMOUTH, MA	Current employment
N•• E•••••• C••••••	Former SEC adviser	Apr 8, 2019	Jun 6, 2019	no	NORTHAMPTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N•• E•••••• C••••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Jun 6, 2019	Jun 12, 2019	6	Firm change	RIA to ibd
E••••• J••••	N•• E•••••• C••••••	Feb 3, 2012	Jun 22, 2012

Relationships

Registered with (3)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Jun 12, 2019 to presentfactForm ADV
→ N•• E•••••• C••••••Registered adviserregistration: previous registration
Apr 8, 2019 to Jun 6, 2019factForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Mar 26, 2007 to Feb 3, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e62e8de-1b21-a6c9-14fa-73b59951a55f
First observed: Mar 26, 2007
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.