DFX Intelligence

J••••••••• W•••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

J••••••••• W•••• R•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Derby, VT

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Search this name across graphsid dfx:ria:a75154e1-762e-1319-1501-c8fb9cc12108

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 6, 1997 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••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 10, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Nov 20, 2012	n/a	yes	Derby, VT	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	May 29, 2012	Nov 20, 2012	no	NEWPORT, VT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Nov 20, 2012	Nov 20, 2012	0	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W••••••• F•••••••• S•••••••• I•••	Jul 6, 2010	May 29, 2012

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 20, 2012 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 29, 2012 to Nov 20, 2012factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 6, 1997 to Jul 6, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a75154e1-762e-1319-1501-c8fb9cc12108
First observed: Jun 6, 1997
Last observed: Sep 14, 2026 9 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.