M•••• B• S••••

Advisor at A••••••••• F•••••••• S•••••••• L••

COLCHESTER, VT | Essex Junction, VT

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:7844609a-b82e-d1a9-84b6-de9158a42e10

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 9, 2008 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 31, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Sep 27, 2022	n/a	yes	COLCHESTER, VT\|Essex Junction, VT	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	Jul 6, 2020	Apr 19, 2022	no	BURLINGTON, VT\|WILLISTON, VT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• U••••• A•••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Apr 19, 2022	Sep 27, 2022	161	Firm change	RIA to ibd
P••••••• S••••••••• I•••	P••••••• U••••• A•••••••• I•••	Mar 31, 2020	Jul 6, 2020

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 27, 2022 to presentfactForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
Jul 6, 2020 to Apr 19, 2022factForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 27, 2009 to Mar 31, 2020factForm ADV
→ C••••••••• S••••••••• L•••

Dated events

Occurred
Apr 19, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7844609a-b82e-d1a9-84b6-de9158a42e10
First observed: Sep 9, 2008
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.