DFX Intelligence

Data Factory

S••••• E••••• B••••••: 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 / WealthAdvisordual registered (broker-dealer)32 years in industry

S••••• E••••• B••••••

Advisor at S•••••• P••••••• I••••••••• A•••••••• L••

PORTSMOUTH, NH | STAMFORD, CT | YORK, ME

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:8a469a8b-e708-2aa9-d755-ecf7ffda6c8d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 11, 2002 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: S•••••• P••••••• I••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 20, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms

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
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Apr 14, 2016	n/a	yes	PORTSMOUTH, NH\|STAMFORD, CT\|YORK, ME	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	May 8, 2015	Dec 8, 2016	no

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
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	S•••••• P••••••• I••••••••• A•••••••• L••	Dec 8, 2016	Apr 14, 2016	-238	Firm change after gap	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	May 11, 2015

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:283004:NH:2016-12-08	Dec 8, 2016	Apr 14, 2016	PORTSMOUTH, NH	Firm change after gap

Relationships

Registered with (6)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Apr 14, 2016 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
May 8, 2015 to Dec 8, 2016factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Nov 2, 2007 to May 11, 2015factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a469a8b-e708-2aa9-d755-ecf7ffda6c8d
First observed: Jul 11, 2002
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.