DFX Intelligence

C••••••••• R• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C••••••••• R• W•••••

Advisor at A••••••• I••••••••• A•••••••• L••

NEEDHAM, MA | Litchfield Park, AZ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 12, 2001 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: A••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: May 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• I••••••••• A•••••••• L••	Institutional manager	Oct 6, 2023	n/a	yes	Litchfield Park, AZ\|NEEDHAM, MA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Jun 20, 2013	Jun 25, 2013	no	CHANDLER, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	A••••••• I••••••••• A•••••••• L••	Jun 25, 2013	Oct 6, 2023	3,755	Firm change after gap	Other
I••••••••• F•••••••• P•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Feb 22, 2013

Relationships

Registered with (7)

→ A••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Oct 6, 2023 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 20, 2013 to Jun 25, 2013factForm ADV
→ I••••••••• F•••••••• P•••••••Registered adviserregistration: previous registration
May 30, 2012 to Feb 22, 2013factForm ADV
→ V•••• F•••••••• A•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 12, 2001
Last observed: Sep 14, 2026 9 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.