DFX Intelligence

P••• E•••••• L•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

P••• E•••••• L•••••••

Advisor at R•• C•••••• M••••••• L••

Glastonbury, CT | GLASTONBURY, CT

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Search this name across graphsid dfx:ria:126d69a0-4520-78e8-9195-1a22b316f517

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 19, 1999 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Dec 1, 2005	n/a	yes	GLASTONBURY, CT\|Glastonbury, CT	Current employment
A•••••• I•••	n/a	Mar 7, 2003	Dec 20, 2005	no	GLASTONBURY, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••••• I•••	R•• C•••••• M••••••• L••	Dec 20, 2005	Dec 1, 2005	-19	Firm change	Other
V••••••• I••••••••• A•••••••• I•••	A•••••• I•••	Apr 1, 2003	Mar 7, 2003

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Dec 1, 2005 to presentfactForm ADV
→ A•••••• I•••Registered adviserregistration: previous registration
Mar 7, 2003 to Dec 20, 2005factForm ADV
→ V••••••• I••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 19, 1999 to Apr 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:126d69a0-4520-78e8-9195-1a22b316f517
First observed: Mar 19, 1999
Last observed: Sep 15, 2026 7 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.