DFX Intelligence

R••••• A• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)16 years in industry

R••••• A• S•••••

Advisor at S•• W•••••

Boston, MA

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Search this name across graphsid dfx:ria:a56ac6ef-f5b3-96e1-a14b-991a4191f6f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Apr 28, 2015 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•• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 18, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•• W•••••	Independent wealth	Nov 4, 2025	n/a	yes	Boston, MA	Current employment
F•••• C••••••• I••••••• S•••••••• I•••	Bd affiliated wealth	Jun 5, 2025	n/a	yes	Boston, MA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	F•••• C••••••• I••••••• S•••••••• I•••	Apr 30, 2025	Jun 5, 2025	36	Firm change	Ibd to ibd
J••• M••••• S••••••••• L••	C••••••••• F•••••••• N••••••	Aug 29, 2023	Nov 1, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
39550:106743:MA:2020-01-08	Jan 8, 2020	Sep 6, 2019	BOSTON, MA	Firm change after gap

Relationships

Registered with (7)

→ S•• W•••••Registered adviserregistration: current employment
Nov 4, 2025 to presentfactForm ADV
→ F•••• C••••••• I••••••• S•••••••• I•••Registered adviserregistration: current employment
Jun 5, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Nov 1, 2023 to Apr 30, 2025factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Apr 30, 2025
Advisor changed firm
R••••• A• S••••• left C••••••••• F•••••••• N•••••• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2025-06-05)
Form ADVobserved 7 days ago
Occurred
Aug 29, 2023
Advisor changed firm
R••••• A• S••••• left J••• M••••• S••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2023-11-01)
Form ADVobserved 7 days ago
Occurred
Jul 13, 2022
Advisor changed firm
R••••• A• S••••• left C••••••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-08-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a56ac6ef-f5b3-96e1-a14b-991a4191f6f3
First observed: Apr 28, 2015
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.