DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

D•••• D••••• D••

Advisor at W••••••••• I••••••••• P••••••• L••

PORTSMOUTH, RI | Smithfield, RI

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2002 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: W••••••••• I••••••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 31, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• I••••••••• P••••••• L••	Independent wealth	Jul 1, 2020	n/a	yes	PORTSMOUTH, RI\|Smithfield, RI	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Feb 8, 2005	Jul 8, 2020	no	PROVIDENCE, RI\|PROVIDENCE, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	W••••••••• I••••••••• P••••••• L••	Jul 8, 2020	Jul 1, 2020	-7	Firm change	Ibd to RIA
M•• I•••••••• S•••••••• L••	L•• F•••••••• L••	Feb 11, 2005	Feb 8, 2005

Relationships

Registered with (3)

→ W••••••••• I••••••••• P••••••• L••Registered adviserregistration: current employment
Jul 1, 2020 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Feb 8, 2005 to Jul 8, 2020factForm ADV
→ M•• I•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 1, 2002 to Feb 11, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 1, 2002
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.