DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst26 years in industry

D•••• A•••••••• B•••••••••

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

Sarasota, FL | WAKEFIELD, MA

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Search this name across graphsid dfx:ria:9ce010a4-55c0-0999-b0c4-ce13dc9876d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 17, 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: S••••••• P•••••• A•••••••• L•••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Dec 8, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••• P•••••• A•••••••• L•••	Institutional manager	Jun 8, 2015	n/a	yes	WAKEFIELD, MA\|Sarasota, FL	Current employment
H• B•••• I•••	Former SEC adviser	Mar 2, 2012	Mar 30, 2015	no	PORTSMOUTH, NH	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H• B•••• I•••	S••••••• P•••••• A•••••••• L•••	Mar 30, 2015	Jun 8, 2015	70	Firm change	Other
M•••••••• • C••••••• I•••	H• B•••• I•••	Sep 22, 2011	Mar 2, 2012

Relationships

Registered with (3)

→ S••••••• P•••••• A•••••••• L•••Registered adviserregistration: current employment
Jun 8, 2015 to presentfactForm ADV
→ H• B•••• I•••Registered adviserregistration: previous registration
Mar 2, 2012 to Mar 30, 2015factForm ADV
→ M•••••••• • C••••••• I•••Registered adviserregistration: previous registration
Mar 17, 2004 to Sep 22, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ce010a4-55c0-0999-b0c4-ce13dc9876d5
First observed: Mar 17, 2004
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.