DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)44 years in industry

S•••••• B••••••• G••

Advisor at N•••••••• P••••••• A••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:cc045d51-0b44-7ef6-26ee-ade2570a99b2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 30, 2015 to Sep 15, 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: N•••••••• P••••••• A••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 11, 1981earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•••••••• P••••••• A••••••••• I•••	Independent wealth	Aug 31, 2021	n/a	yes	BEDFORD, NH\|WOBURN, MA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 13, 2020	n/a	yes	YORK, ME\|WOBURN, MA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••••••••• G•••• E••••• • R••••••••• S•••••••••	L•• F•••••••• L••	Mar 16, 2020	May 13, 2020	58	Firm change	RIA to ibd

Relationships

Registered with (3)

→ N•••••••• P••••••• A••••••••• I•••Registered adviserregistration: current employment
Aug 31, 2021 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: current employment
May 13, 2020 to presentfactForm ADV
→ H••••••••• G•••• E••••• • R••••••••• S•••••••••Registered adviserregistration: previous registration
Jul 30, 2015 to Mar 16, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc045d51-0b44-7ef6-26ee-ade2570a99b2
First observed: Jul 30, 2015
Last observed: Sep 15, 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.