DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

S•••• L•• M•••••••

Advisor at O•••• I••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:a170ac64-5838-8e3c-9f78-307f53f13d32

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Aug 23, 2001 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 23, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 21derivedfrom the current registration's begin date
Current registrations: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Mar 28, 2005	n/a	yes	ELLSWORTH, ME\|NORTHEAST HARBOR, ME\|SOMESVILLE, ME\|BAR HARBOR, ME\|SOUTHWEST HARBOR, ME	Current employment

Relationships

Registered with (1)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Mar 28, 2005 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a170ac64-5838-8e3c-9f78-307f53f13d32
First observed: Aug 23, 2001
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.