DFX Intelligence

M••• C••••••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

M••• C••••••••• N•••••

Advisor at R•••••• J•••• • A••••••••• I•••

Falmouth, ME | PORTLAND, ME

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Search this name across graphsid dfx:ria:b7f62f79-f6eb-b777-1f33-863da02f9449

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 16, 2006 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 29, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	May 20, 2014	n/a	yes	PORTLAND, ME\|Falmouth, ME	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Oct 16, 2006	May 28, 2014	no	PORTLAND, ME	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	R•••••• J•••• • A••••••••• I•••	May 28, 2014	May 20, 2014	-8	Firm change	Wirehouse to ibd

Relationships

Registered with (2)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
May 20, 2014 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2006 to May 28, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7f62f79-f6eb-b777-1f33-863da02f9449
First observed: Oct 16, 2006
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.