DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

A•••••• L•••

Advisor at C••••••• S••••••••• I•••

ALBANY, NY | DEDHAM, MA

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Search this name across graphsid dfx:ria:9446afb5-7fb0-9d17-b646-96704b3fbed2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Dec 5, 1998 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: C••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 21, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 10

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	Sep 9, 2022	n/a	yes	ALBANY, NY\|DEDHAM, MA	Current employment
O••••• I••••••••• A••••••• L••	Independent wealth	Apr 12, 2022	May 4, 2022	no	WALPLOE, MA\|SARASOTA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• P•••••• A•••••••• L•••	C••••••• S••••••••• I•••	Jun 10, 2022	Sep 9, 2022	91	Firm change	Other
O••••• I••••••••• A••••••• L••	S••••••• P•••••• A•••••••• L•••	May 4, 2022	Apr 12, 2022

Relationships

Registered with (11)

→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
Sep 9, 2022 to presentfactForm ADV
→ S••••••• P•••••• A•••••••• L•••Registered adviserregistration: previous registration
Apr 12, 2022 to Jun 10, 2022factForm ADV
→ O••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 12, 2022 to May 4, 2022factForm ADV
→ E•••••• F•••••••• E••••••

Dated events

Occurred
Jun 10, 2022
Advisor changed firm
A•••••• L••• left S••••••• P•••••• A•••••••• L••• for C••••••• S••••••••• I••• (registered 2022-09-09)
Form ADVobserved 7 days ago
Occurred
May 4, 2022
Advisor changed firm
A•••••• L••• left O••••• I••••••••• A••••••• L•• for S••••••• P•••••• A•••••••• L••• (registered 2022-04-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9446afb5-7fb0-9d17-b646-96704b3fbed2
First observed: Dec 5, 1998
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.