DFX Intelligence

A•• D••••••• L•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

A•• D••••••• L•••••••

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

BRAINTREE, MA

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Search this name across graphsid dfx:ria:e3295cde-a4d0-e96e-3848-71e62cb9df6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2017 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: P••••• C•••••• A•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••• C•••••• A•••••••• L••	Independent wealth	May 14, 2021	n/a	yes	BRAINTREE, MA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	May 18, 2018	May 25, 2021	no	BOSTON, MA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	P••••• C•••••• A•••••••• L••	May 25, 2021	May 14, 2021	-11	Firm change	Wirehouse to RIA
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	May 12, 2018	Feb 27, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:310327:MA:2021-05-25	May 25, 2021	May 14, 2021	BOSTON, MA	Firm change
111514:7870:NE:2018-05-12	May 12, 2018	Feb 27, 2018	OMAHA, NE	Firm change after gap

Relationships

Registered with (5)

→ P••••• C•••••• A•••••••• L••Registered adviserregistration: current employment
May 14, 2021 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
May 18, 2018 to May 25, 2021factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2018 to May 12, 2018factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3295cde-a4d0-e96e-3848-71e62cb9df6f
First observed: Mar 23, 2017
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.