DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

E••••• S•••• F•••••••••

Advisor at I• F•••••••• A••••••• S••••••• L••

Marshfield, MA | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:c92e0bfc-837b-7429-ea99-6d6ca0b1f400

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 3, 2006 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: I• F•••••••• A••••••• S••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 21, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I• F•••••••• A••••••• S••••••• L••	Independent wealth	Jan 14, 2026	n/a	yes	CHARLOTTE, NC\|Marshfield, MA	Current employment
A•••••••• F•••• M••••••••• L••	Asset manager	May 3, 2006	Dec 31, 2009	no	MENOMONEE FALLS, WI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••••• F•••• M••••••••• L••	I• F•••••••• A••••••• S••••••• L••	Dec 31, 2009	Jan 14, 2026	5,858	Firm change after gap	Other

Relationships

Registered with (2)

→ I• F•••••••• A••••••• S••••••• L••Registered adviserregistration: current employment
Jan 14, 2026 to presentfactForm ADV
→ A•••••••• F•••• M••••••••• L••Registered adviserregistration: previous registration
May 3, 2006 to Dec 31, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c92e0bfc-837b-7429-ea99-6d6ca0b1f400
First observed: May 3, 2006
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.