DFX Intelligence

A••••• M••• R••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

A••••• M••• R••••

Advisor at O•••• W•••••• I•••

CRANSTON, RI

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 21, 2003 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: O•••• W•••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 18, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• W•••••• I•••	Bd affiliated wealth	Aug 23, 2024	n/a	yes	CRANSTON, RI	Current employment
T•••• A•••••••• L••	Former SEC adviser	May 5, 2006	Aug 23, 2024	no	EAST PROVIDENCE, RI\|EAST PROVIDENCE, RI\|CRANSTON, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T•••• A•••••••• L••	O•••• W•••••• I•••	Aug 23, 2024	Aug 23, 2024	0	Bulk transfer	Ibd to ibd
T•••• S••••• S••••••••• I•••	T•••• A•••••••• L••	Apr 26, 2006	May 5, 2006

Relationships

Registered with (3)

→ O•••• W•••••• I•••Registered adviserregistration: current employment
Aug 23, 2024 to presentfactForm ADV
→ T•••• A•••••••• L••Registered adviserregistration: previous registration
May 5, 2006 to Aug 23, 2024factForm ADV
→ T•••• S••••• S••••••••• I•••Registered adviserregistration: previous registration
Jul 21, 2003 to Apr 26, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 21, 2003
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.