DFX Intelligence

A•••• Y• T••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

A•••• Y• T••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

PORTLAND, ME | Manchester, ME

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Search this name across graphsid dfx:ria:8d873146-1f9b-7dea-9f0c-0040c0609ad3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 25, 2004 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Oct 22, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jan 3, 2012	n/a	yes	PORTLAND, ME\|Manchester, ME	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Jul 6, 2007	Jan 20, 2012	no	PORTLAND, ME

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jan 20, 2012	Jan 3, 2012	-17	Firm change	Ibd to wirehouse
A• G• E•••••• • S•••• I•••	R•••••• J•••• • A••••••••• I•••	Jul 12, 2007	Jul 6, 2007

Relationships

Registered with (3)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Jan 3, 2012 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Jul 6, 2007 to Jan 20, 2012factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Oct 25, 2004 to Jul 12, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d873146-1f9b-7dea-9f0c-0040c0609ad3
First observed: Oct 25, 2004
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.