DFX Intelligence

M••• D••••• P•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor34 years in industry

M••• D••••• P•••••••••

Advisor at S••••• F••••••••• L••

WEST WARWICK, RI

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:776bd157-fd9f-2917-07c5-c0d39cd2eaf5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 1, 2002 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: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 3, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Jul 1, 2025	n/a	yes	WEST WARWICK, RI	Current employment
T•• P•••••• F•••••••• G••••• L••	Independent wealth	Mar 18, 2021	Jul 3, 2025	no	West Warwick, RI\|WALPOLE, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•• P•••••• F•••••••• G••••• L••	S••••• F••••••••• L••	Jul 3, 2025	Jul 1, 2025	-2	Firm change	RIA to ibd
I•• W••••• M••••••••• I•••	T•• P•••••• F•••••••• G••••• L••	Jun 30, 2021	Mar 18, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
164557:172470:RI:2021-06-30	Jun 30, 2021	Mar 18, 2021	WEST WARWICK, RI	Firm change after gap

Relationships

Registered with (4)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Jul 1, 2025 to presentfactForm ADV
→ T•• P•••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Mar 18, 2021 to Jul 3, 2025factForm ADV
→ I•• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 9, 2016 to Jun 30, 2021factForm ADV
→ M• H••••••• S••••••••• I•••

Dated events

Occurred
Jul 3, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:776bd157-fd9f-2917-07c5-c0d39cd2eaf5
First observed: Jan 1, 2002
Last observed: Sep 14, 2026 9 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.