DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst31 years in industry

M•••••• R•••••• L•••••

Advisor at B•••••• F••••• • S•••••• I••

Westerly, RI | HARTFORD, CT

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Search this name across graphsid dfx:ria:b631fb4e-d705-6ad2-97f3-fc7cbe9b97c4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2016 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•••••• F••••• • S•••••• I••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 18, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
B•••••• F••••• • S•••••• I••	Independent wealth	May 23, 2025	n/a	yes	Westerly, RI\|HARTFORD, CT	Current employment
N••••••• C•••••• L••	Former SEC adviser	Jan 7, 2021	Jul 20, 2026	no	WESTERLY, RI	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••• C•••••• L••	B•••••• F••••• • S•••••• I••	Jul 20, 2026	May 23, 2025	-423	Firm change after gap	RIA to RIA
L•• F•••••••• L••	N••••••• C•••••• L••	Jan 6, 2021	Jan 7, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
292776:106928:RI:2026-07-20	Jul 20, 2026	May 23, 2025	WESTERLY, RI	Firm change after gap

Relationships

Registered with (4)

→ B•••••• F••••• • S•••••• I••Registered adviserregistration: current employment
May 23, 2025 to presentfactForm ADV
→ N••••••• C•••••• L••Registered adviserregistration: previous registration
Jan 7, 2021 to Jul 20, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Apr 8, 2020 to Jan 6, 2021factForm ADV
→ C••••••••• F•••••••• N••••••

Dated events

Occurred
Jul 20, 2026
Advisor changed firm
M•••••• R•••••• L••••• left N••••••• C•••••• L•• for B•••••• F••••• • S•••••• I•• (registered 2025-05-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b631fb4e-d705-6ad2-97f3-fc7cbe9b97c4
First observed: Feb 23, 2016
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.