DFX Intelligence

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

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

E•••••••• A••• S•••••••

Advisor at R•• C•••••• M••••••• L••

Westport, CT | Wilton, CT

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Search this name across graphsid dfx:ria:0b8716a6-a059-7e66-6ee3-40768ec9e846

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 24, 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 4, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	May 16, 2008	n/a	yes	Westport, CT\|Wilton, CT	Current employment
C•••••••• G••••• M•••••• I•••	Bd affiliated wealth	Oct 24, 2001	Jun 5, 2008	no	WESTPORT, CT\|WESTPORT, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• G••••• M•••••• I•••	R•• C•••••• M••••••• L••	Jun 5, 2008	May 16, 2008	-20	Firm change	Other

Relationships

Registered with (2)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
May 16, 2008 to presentfactForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Oct 24, 2001 to Jun 5, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0b8716a6-a059-7e66-6ee3-40768ec9e846
First observed: Oct 24, 2001
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.