D•••• K• R•••

Advisor at C••••• 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:9cb75643-0c75-278e-6720-c0c2894ee791

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 24, 2008 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Jan 3, 2023	n/a	yes	GLOUCESTER, MA	Current employment
T•• P•••••• F•••••••• G••••• L••	Independent wealth	Jan 6, 2017	n/a	yes	WALPOLE, MA\|Gloucester, MA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	T•• P•••••• F•••••••• G••••• L••	Jul 5, 2018	Jan 6, 2017	-545	Firm change after gap	Other
O•••• F•• I•••	L•• F•••••••• L••	Feb 27, 2009	Mar 10, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:172470:MA:2018-07-03	Jul 5, 2018	Jan 6, 2017	ESSEX, MA	Firm change after gap

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Jan 3, 2023 to presentfactForm ADV
→ T•• P•••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Jan 6, 2017 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Mar 10, 2009 to Jul 5, 2018factForm ADV
→ O•••• F•• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9cb75643-0c75-278e-6720-c0c2894ee791
First observed: Jun 24, 2008
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.