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N•••••• O••••• B••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

N•••••• O••••• B••••

Advisor at C••••• I••••••••• A••••••• L••

North Kingstown, RI

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Search this name across graphsid dfx:ria:9da250c8-4e65-9e0c-13c8-c7f03d9dd34d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 28, 1991 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 10, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	North Kingstown, RI	Current employment
I•••••••• C•••••• A•••••••	Former SEC adviser	Mar 30, 2012	Oct 3, 2016	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
I•••••••• C•••••• A•••••••	C••••• I••••••••• A••••••• L••	Oct 3, 2016	Mar 21, 2024	2,726	Bulk transfer	Other
U•• F•••••••• S••••••• I•••	I•••••••• C•••••• A•••••••	Apr 9, 2012

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ I•••••••• C•••••• A•••••••Registered adviserregistration: previous registration
Mar 30, 2012 to Oct 3, 2016factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Mar 28, 1991 to Apr 9, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9da250c8-4e65-9e0c-13c8-c7f03d9dd34d
First observed: Mar 28, 1991
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.