DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S•••••• I•••••• C•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Waterford, CT | Mystic, CT

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Search this name across graphsid dfx:ria:057d0ec9-4109-8113-5d25-ce4493248641

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2019 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Apr 1, 2022	n/a	yes	Mystic, CT\|Waterford, CT	Current employment
C••••••• S••••••••• I•••	Bd affiliated wealth	Jun 25, 2019	Dec 31, 2020	no	DEEP RIVER, CT\|NIANTIC, CT\|BRIDGEPORT, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• S••••••••• I•••	A••••••••• F•••••••• S•••••••• L••	Dec 31, 2020	Apr 1, 2022	456	Firm change after gap	Ibd to ibd

Relationships

Registered with (2)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 1, 2022 to presentfactForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 25, 2019 to Dec 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:057d0ec9-4109-8113-5d25-ce4493248641
First observed: Jun 25, 2019
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.