DFX Intelligence

R•••••• E•••••••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant45 years in industry

R•••••• E•••••••• F••••••

Advisor at C• A•••••••• L••

BOSTON, MA | MARBLEHEAD, MA

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Search this name across graphsid dfx:ria:b4cd20be-ad47-3ec7-9cfd-4d9b72dddecf

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 24, 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: C• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 20, 1980earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C• A•••••••• L••	Independent wealth	Sep 1, 2022	n/a	yes	BOSTON, MA\|MARBLEHEAD, MA	Current employment
F•••••••• R•••••••• M••••••••• C•••	Former SEC adviser	Feb 24, 2004	Sep 7, 2022	no	KEY WEST, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• R•••••••• M••••••••• C•••	C• A•••••••• L••	Sep 7, 2022	Sep 1, 2022	-6	Firm change	Other

Relationships

Registered with (2)

→ C• A•••••••• L••Registered adviserregistration: current employment
Sep 1, 2022 to presentfactForm ADV
→ F•••••••• R•••••••• M••••••••• C•••Registered adviserregistration: previous registration
Feb 24, 2004 to Sep 7, 2022factForm ADV

Dated events

Occurred
Sep 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b4cd20be-ad47-3ec7-9cfd-4d9b72dddecf
First observed: Feb 24, 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.