DFX Intelligence

R••••• M•••••• D••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

R••••• M•••••• D••••••

Advisor at R•• C•••••• M••••••• L••

PORTLAND, ME | Falmouth, ME

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Search this name across graphsid dfx:ria:a7bc23f7-37c6-960f-0bfb-7947a67c0bdc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 25, 2007 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 8, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Feb 9, 2024	n/a	yes	PORTLAND, ME\|Falmouth, ME	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 9, 2010	Feb 13, 2024	no	PORTLAND, ME\|PORTLAND, ME	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	R•• C•••••• M••••••• L••	Feb 13, 2024	Feb 9, 2024	-4	Firm change	Wirehouse to ibd
N••••••••• M••••• I••••••••• S•••••••••	W•••• F•••• A•••••••	Apr 16, 2010	Apr 9, 2010

Relationships

Registered with (4)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Feb 9, 2024 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 9, 2010 to Feb 13, 2024factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Sep 11, 2009 to Apr 16, 2010factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
Feb 13, 2024
Advisor changed firm
R••••• M•••••• D•••••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2024-02-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7bc23f7-37c6-960f-0bfb-7947a67c0bdc
First observed: Jul 25, 2007
Last observed: Sep 15, 2026 7 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.