DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

D•••• S••••• O•••••

Advisor at G•• S••••••••• I•••

NORWALK, CT | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:11e691ff-4f9a-9c53-2c84-1d43740e4294

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Oct 18, 2010 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: G•• S••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•• S••••••••• I•••	Bd affiliated wealth	Jun 18, 2015	n/a	yes	PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL\|NORWALK, CT	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	May 20, 2014	Jun 19, 2015	no	NORWALK, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• A•••••••• I•••	G•• S••••••••• I•••	Jun 19, 2015	Jun 18, 2015	-1	Firm change	Other
A•••• • F•••••••• P•••••••• L••	B• R•••• W••••• A•••••••• I•••	May 12, 2014	May 20, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
115927:128929:CT:2015-06-17	Jun 19, 2015	Jun 18, 2015	NORWALK, CT	Firm change

Relationships

Registered with (3)

→ G•• S••••••••• I•••Registered adviserregistration: current employment
Jun 18, 2015 to presentfactForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
May 20, 2014 to Jun 19, 2015factForm ADV
→ A•••• • F•••••••• P•••••••• L••Registered adviserregistration: previous registration
Oct 18, 2010 to May 12, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:11e691ff-4f9a-9c53-2c84-1d43740e4294
First observed: Oct 18, 2010
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.