DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

S••••• S•••• S••••

Advisor at O•••• I••••••••• I•••

Bangor, ME | CHINA, ME

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Search this name across graphsid dfx:ria:b2bd03b5-7394-4173-b38a-cc329057665d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2004 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 28, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Oct 25, 2019	n/a	yes	CHINA, ME\|Bangor, ME	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	May 21, 2018	Nov 13, 2019	no	Bangor, ME	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• S••••••••• I•••	P••••••• U••••• A•••••••• I•••	Nov 13, 2019	May 21, 2018	-541	Firm change after gap	Other
P••••••• U••••• A•••••••• I•••	O•••• I••••••••• I•••	Nov 13, 2019	Oct 25, 2019

Relationships

Registered with (6)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Oct 25, 2019 to presentfactForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 27, 2010 to Nov 13, 2019factForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
May 21, 2018 to Nov 13, 2019factForm ADV
→ T• W••••• M••••••••• S••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b2bd03b5-7394-4173-b38a-cc329057665d
First observed: Nov 10, 2004
Last observed: Sep 15, 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.