DFX Intelligence

C••••• M•••••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

C••••• M•••••• S••••••

Advisor at W•••••••• A•••• M••••••••• I•••

PORTSMOUTH, NH

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Search this name across graphsid dfx:ria:e018e8e6-fb73-f2a6-b037-1aa6007cb570

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 16, 2014 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: W•••••••• A•••• M••••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: May 30, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••••• A•••• M••••••••• I•••	Mixed wealth	May 22, 2025	n/a	yes	PORTSMOUTH, NH	Current employment
C•••• A••••••• L••	Asset manager	Oct 31, 2024	Nov 19, 2024	no	SAN FRANCISCO, CA\|New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• A••••••• L••	W•••••••• A•••• M••••••••• I•••	Nov 19, 2024	May 22, 2025	184	Firm change	Other
V••••••• A••••••• S••••••••• I•••	C•••• A••••••• L••	May 7, 2024	Oct 31, 2024

Relationships

Registered with (4)

→ W•••••••• A•••• M••••••••• I•••Registered adviserregistration: current employment
May 22, 2025 to presentfactForm ADV
→ C•••• A••••••• L••Registered adviserregistration: previous registration
Oct 31, 2024 to Nov 19, 2024factForm ADV
→ V••••••• A••••••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 29, 2023 to May 7, 2024factForm ADV
→ E•••• V•••• M•••••••••

Dated events

Occurred
Nov 19, 2024
Advisor changed firm
C••••• M•••••• S•••••• left C•••• A••••••• L•• for W•••••••• A•••• M••••••••• I••• (registered 2025-05-22)
Form ADVobserved 7 days ago
Occurred
May 7, 2024
Advisor changed firm
C••••• M•••••• S•••••• left V••••••• A••••••• S••••••••• I••• for C•••• A••••••• L•• (registered 2024-10-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e018e8e6-fb73-f2a6-b037-1aa6007cb570
First observed: Jun 16, 2014
Last observed: Sep 14, 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.