DFX Intelligence

T•••••• A••••• O•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

T•••••• A••••• O•••••••••

Advisor at B••• P•••• F••••••••• I•••

SCARBOROUGH, ME

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Search this name across graphsid dfx:ria:aa0fef43-7eb7-91bd-fb30-db4299ef784c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 2, 2002 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: B••• P•••• F••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B••• P•••• F••••••••• I•••	Independent wealth	Jun 4, 2019	n/a	yes	SCARBOROUGH, ME	Current employment
E•• F•••••••• A•••••••	Independent wealth	Oct 2, 2002	Jun 6, 2019	no	PORTLAND, ME\|SCARBOROUGH, ME\|COLCHESTER, VT\|PORTLAND, ME

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•• F•••••••• A•••••••	B••• P•••• F••••••••• I•••	Jun 6, 2019	Jun 4, 2019	-2	Firm change	Ibd to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
265:299688:ME:2019-06-06	Jun 6, 2019	Jun 4, 2019	PORTLAND, ME	Firm change

Relationships

Registered with (2)

→ B••• P•••• F••••••••• I•••Registered adviserregistration: current employment
Jun 4, 2019 to presentfactForm ADV
→ E•• F•••••••• A•••••••Registered adviserregistration: previous registration
Oct 2, 2002 to Jun 6, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa0fef43-7eb7-91bd-fb30-db4299ef784c
First observed: Oct 2, 2002
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.