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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

R••• E••• C•••••••

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

WAKEFIELD, MA

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Search this name across graphsid dfx:ria:8cad3628-577a-edb9-48f3-b0d972227dce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 11, 2003 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••••••• P•••••• A•••••••• L•••
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: Jul 16, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 22derivedfrom 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•••••• A•••••••• L•••	Institutional manager	Jan 28, 2004	n/a	yes	WAKEFIELD, MA	Current employment
B•••••••• I••••••••• A•••••••• L••	n/a	Aug 11, 2003	Nov 4, 2003	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
B•••••••• I••••••••• A•••••••• L••	S••••••• P•••••• A•••••••• L•••	Nov 4, 2003	Jan 28, 2004	85	Firm change	Other

Relationships

Registered with (2)

→ S••••••• P•••••• A•••••••• L•••Registered adviserregistration: current employment
Jan 28, 2004 to presentfactForm ADV
→ B•••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Aug 11, 2003 to Nov 4, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8cad3628-577a-edb9-48f3-b0d972227dce
First observed: Aug 11, 2003
Last observed: Sep 14, 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.