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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

S•••• D•••

Advisor at C•••••••

Boston, MA

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Search this name across graphsid dfx:ria:855d2cd6-3419-f172-735f-5c57c1fda72a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jul 6, 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: C•••••••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 20, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••	Institutional manager	Jun 5, 2025	n/a	yes	Boston, MA	Current employment
P•••• S••••••••• L••	No RAUM reported	May 31, 2024	Aug 2, 2024	no	MARLBOROUGH, MA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
P•••• S••••••••• L••	C•••••••	Aug 2, 2024	Jun 5, 2025	307	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	P•••• S••••••••• L••	Feb 14, 2024

Relationships

Registered with (5)

→ C•••••••Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ P•••• S••••••••• L••Registered adviserregistration: previous registration
May 31, 2024 to Aug 2, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 13, 2023 to Feb 14, 2024factForm ADV
→ P•• C•••••• A••••••• L••

Dated events

Occurred
Aug 2, 2024
Advisor changed firm
S•••• D••• left P•••• S••••••••• L•• for Captrust (registered 2025-06-05)
Form ADVobserved 6 days ago
Occurred
Feb 14, 2024
Advisor changed firm
S•••• D••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••• S••••••••• L•• (registered 2024-05-31)
Form ADVobserved 6 days ago
Occurred
Sep 13, 2022
Advisor changed firm
S•••• D••• left P•• C•••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-07-13)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:855d2cd6-3419-f172-735f-5c57c1fda72a
First observed: Jul 6, 2007
Last observed: Sep 14, 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.