DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S••••• A••••• D•••

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

••• Locked

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Search this name across graphsid dfx:ria:f197c3b6-9de3-90e9-cf22-def8851fd5c0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 22, 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: N•••••••• P••••••• A••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 22derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Jul 27, 2007	n/a	yes	JAY, ME\|MEXICO, ME\|MADISON, ME\|NORWAY, ME	Current employment
N•••••••• P••••••• A••••••••• I•••	Independent wealth	Jul 27, 2004	n/a	yes	MADISON, ME\|BEDFORD, NH	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S•••••• C•••••••••	N•••••••• P••••••• A••••••••• I•••	Sep 29, 2004	Jul 27, 2004	-64	Firm change after gap	Other
V••••••• I••••••••• A•••••••• I•••	M••••• S•••••• C•••••••••	Nov 13, 2003	Nov 26, 2003

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jul 27, 2007 to presentfactForm ADV
→ N•••••••• P••••••• A••••••••• I•••Registered adviserregistration: current employment
Jul 27, 2004 to presentfactForm ADV
→ M••••• S•••••• C•••••••••Registered adviserregistration: previous registration
Nov 26, 2003 to Sep 29, 2004factForm ADV
→ V••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f197c3b6-9de3-90e9-cf22-def8851fd5c0
First observed: Aug 22, 2002
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.