DFX Intelligence

S•••• R• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

S•••• R• F••••••

Advisor at L••••••• C•••••• P••••••• L••

SOUTHBOROUGH, MA | Naples, FL

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Search this name across graphsid dfx:ria:c32da172-741c-79d4-f517-30543e875b83

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 14, 2005 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: L••••••• C•••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 13, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L••••••• C•••••• P••••••• L••	Independent wealth	Oct 6, 2017	n/a	yes	SOUTHBOROUGH, MA\|Naples, FL	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Oct 10, 2017	no	Boston, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	L••••••• C•••••• P••••••• L••	Oct 10, 2017	Oct 6, 2017	-4	Firm change	Wirehouse to new firm
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:290008:MA:2017-10-10	Oct 10, 2017	Oct 6, 2017	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ L••••••• C•••••• P••••••• L••Registered adviserregistration: current employment
Oct 6, 2017 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Oct 10, 2017factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Aug 8, 2008 to Jun 1, 2009factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c32da172-741c-79d4-f517-30543e875b83
First observed: Jan 14, 2005
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.