DFX Intelligence
Reading the graph
Reading the graph
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Advisor at N•• I••••••••• S••••••••
S••••FILED, RI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| N•• I••••••••• S•••••••• | Independent wealth | Sep 8, 2025 | n/a | yes | S••••FILED, RI | Current employment |
| L•• F•••••••• L•• | Bd affiliated wealth | May 18, 2022 | Sep 8, 2025 | no | EAST GREENWICH, RI|S••••FIELD, RI|SCITUATE, RI|NORTH S••••FIELD, RI|WARREN, RI |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | N•• I••••••••• S•••••••• | Sep 8, 2025 | Sep 8, 2025 | 0 | Firm change | Ibd to RIA |
| C••• B•••••••• S•••••••• I••• | L•• F•••••••• L•• | May 18, 2022 | May 18, 2022 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 6413:134804:RI:2025-09-08 | Sep 8, 2025 | Sep 8, 2025 | WARREN, RI | Firm change |
| 7691:20472:RI:2015-11-17 | Nov 17, 2015 | Dec 1, 2015 | CRANSTON, RI | Firm change |
| C••• B•••••••• S•••••••• I••• | Former SEC adviser | May 29, 2018 | May 18, 2022 | no | WAVERLY, IA|East Greenwich, RI|Smithfield, RI|Providence, RI|Scituate, RI | Previous registration |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Apr 18, 2017 | May 1, 2018 | no | PLYMOUTH, MA|E. PROVIDENCE, RI|SEEKONK, MA|EAST PROVIDENCE, RI|BARRINGTON, RI|RUMFORD, RI | Previous registration |
| A••••• A•• P••••••• S••••••• | Bd affiliated wealth | Dec 1, 2015 | Sep 1, 2016 | no | PROVIDENCE, RI | Previous registration |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Wirehouse | Aug 19, 2011 | Nov 17, 2015 | no | PROVIDENCE, RI|BARRINGTON, RI|BARRINGTON, RI|NEW YORK, NY|WAKEFIELD, RI|CRANSTON, RI|WARWICK, RI|WESTERLY, RI|WESTERLY, RI|WAKEFIELD, RI|WAKEFIELD, RI|CRANSTON, RI | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Aug 6, 2009 | Aug 2, 2011 | no | WARWICK, RI|NEW LONDON, CT | Previous registration |
| C••••••• S••••••••• I••• | Bd affiliated wealth | Feb 11, 2004 | Sep 1, 2006 | no | BARRINGTON, RI|WARREN, RI | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Jan 1, 1998 | Feb 10, 2004 | no | WARWICK, RI | Previous registration |
| Bulk transfer |
| Ibd to RIA |
| C••••••• S••••••••• I••• | C••• B•••••••• S•••••••• I••• | May 1, 2018 | May 29, 2018 | 28 | Firm change | Ibd to RIA |
| A••••• A•• P••••••• S••••••• | C••••••• S••••••••• I••• | Sep 1, 2016 | Apr 18, 2017 | 229 | Firm change | Other |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | A••••• A•• P••••••• S••••••• | Nov 17, 2015 | Dec 1, 2015 | 14 | Firm change | Other |
| M•• F•••••••• S•••••••• I••• | M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | Aug 2, 2011 | Aug 19, 2011 | 17 | Firm change | Other |
| C••••••• S••••••••• I••• | M•• F•••••••• S•••••••• I••• | Sep 1, 2006 | Aug 6, 2009 | 1,070 | Firm change after gap | Other |
| M•• F•••••••• S•••••••• I••• | C••••••• S••••••••• I••• | Feb 10, 2004 | Feb 11, 2004 | 1 | Firm change | Other |