DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

G•••••• N••••••• D••••

Advisor at C••••••• S••••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:d92e322c-ccc5-0840-f7ce-557cef87527c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 27, 2002 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: C••••••• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 27, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 19derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	Dec 13, 2006	n/a	yes	PAWTUCKET, RI\|LINCOLN, RI\|JOHNSTON, RI	Current employment
B••• O• A•••••• I••••••••• S•••••••• I•••	n/a	Oct 20, 2004	Nov 22, 2006	no	EAST PROVIDENCE, RI\|EAST PROVIDENCE, RI\|PROVIDENCE, RI\|PROVIDENCE, RI\|EAST PROVIDENCE, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••• O• A•••••• I••••••••• S•••••••• I•••	C••••••• S••••••••• I•••	Nov 22, 2006	Dec 13, 2006	21	Firm change	Other
Q•••• • R•••••• I•••	B••• O• A•••••• I••••••••• S•••••••• I•••	Oct 20, 2004	Oct 20, 2004

Relationships

Registered with (3)

→ C••••••• S••••••••• I•••Registered adviserregistration: current employment
Dec 13, 2006 to presentfactForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2004 to Nov 22, 2006factForm ADV
→ Q•••• • R•••••• I•••Registered adviserregistration: previous registration
Aug 27, 2002 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d92e322c-ccc5-0840-f7ce-557cef87527c
First observed: Aug 27, 2002
Last observed: Sep 15, 2026 7 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.