DFX Intelligence

T••• C••••••••• R•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)19 years in industry

T••• C••••••••• R•••

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

••• Locked

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:8afd5f1b-171a-c7ed-fdb0-ab9f4f05741c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 19, 2007 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 public••• Locked
Industry start: Apr 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• P••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Aug 30, 2017	n/a	yes	STAMFORD, CT\|PORTSMOUTH, NH\|NORTHBOROUGH, MA	Current employment
W•••• F•••• A•••••••	Wirehouse	Jul 19, 2007	Apr 28, 2017	no	BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	S•••••• P••••••• I••••••••• A•••••••• L••	Apr 28, 2017	Aug 30, 2017	124	Firm change	Other

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:283004:MA:2017-04-28	Apr 28, 2017	Aug 30, 2017	BOSTON, MA	Firm change

Relationships

Registered with (2)

→ S•••••• P••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Aug 30, 2017 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jul 19, 2007 to Apr 28, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8afd5f1b-171a-c7ed-fdb0-ab9f4f05741c
First observed: Jul 19, 2007
Last observed: Sep 15, 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.