DFX Intelligence

P•••••• M•••••• F•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)30 years in industry

P•••••• M•••••• F•••••

Advisor at C••••••••• F•••••••• N••••••

Newburyport, MA

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Search this name across graphsid dfx:ria:aa72f45b-f8ce-95a0-6153-99e10e891005

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 28, 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 4, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jan 22, 2015	n/a	yes	Newburyport, MA	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Mar 28, 2002	Jan 26, 2015	no	NEWBURYPORT, MA\|NEWBURYPORT, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Jan 26, 2015	Jan 22, 2015	-4	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
6363:8032:MA:2015-01-26	Jan 26, 2015	Jan 22, 2015	NEWBURYPORT, MA	Firm change

Relationships

Registered with (2)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jan 22, 2015 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Mar 28, 2002 to Jan 26, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa72f45b-f8ce-95a0-6153-99e10e891005
First observed: Mar 28, 2002
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.