DFX Intelligence

T•••••• W•••••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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

T•••••• W•••••• S•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

NEW LONDON, NH

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Search this name across graphsid dfx:ria:c1a6d6e6-3f9f-7bad-f687-4053af17e239

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Aug 24, 2004 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 28, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Oct 12, 2023	n/a	yes	NEW LONDON, NH	Current employment
O•••• I••••••••• I•••	Bd affiliated wealth	Mar 31, 2022	Sep 5, 2023	no	HANOVER, NH\|Concord, NH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• I••••••••• I•••	S•••••• N••••••• • C••••••• I•••••••••	Sep 5, 2023	Oct 12, 2023	37	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	O•••• I••••••••• I•••	Aug 9, 2006	Mar 31, 2022

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Oct 12, 2023 to presentfactForm ADV
→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
Mar 31, 2022 to Sep 5, 2023factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 24, 2004 to Aug 9, 2006factForm ADV

Dated events

Occurred
Sep 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1a6d6e6-3f9f-7bad-f687-4053af17e239
First observed: Aug 24, 2004
Last observed: Sep 14, 2026 9 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.