DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

G•••••• A••••• A•••••••••

Advisor at W••••••••• I••••••••• C•••••• L••

BOSTON, MA

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Search this name across graphsid dfx:ria:c127238d-b923-501e-ca79-c9e9c9e207f4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 20, 2012 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: W••••••••• I••••••••• C•••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 27derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• I••••••••• C•••••• L••	Mixed wealth	Aug 14, 1999	n/a	yes	BOSTON, MA	Current employment
A•••• A•••••••	Former SEC adviser	Nov 20, 2012	Apr 18, 2013	no	SAN MATEO, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• A•••••••	n/a	Apr 18, 2013	n/a	n/a	Departure no registered destination	Departure

Relationships

Registered with (2)

→ W••••••••• I••••••••• C•••••• L••Registered adviserregistration: current employment
Aug 14, 1999 to presentfactForm ADV
→ A•••• A•••••••Registered adviserregistration: previous registration
Nov 20, 2012 to Apr 18, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c127238d-b923-501e-ca79-c9e9c9e207f4
First observed: Nov 20, 2012
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.