DFX Intelligence

D•••• W•••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••• W•••••• W•••••

Advisor at M••••• S••••••

Providence, RI

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Search this name across graphsid dfx:ria:968db653-13c1-6333-a32b-898c76142cf8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 21, 1998 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••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jun 1, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Jun 1, 2009	n/a	yes	Providence, RI	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Sep 21, 1998	Jun 1, 2009	no	PROVIDENCE, RI\|PROVIDENCE, RI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (2)

→ M••••• S••••••Registered adviserregistration: current employment
Jun 1, 2009 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Sep 21, 1998 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:968db653-13c1-6333-a32b-898c76142cf8
First observed: Sep 21, 1998
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.