DFX Intelligence

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

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RIA / WealthAdvisor24 years in industry

D•••• A•••••• S••••••••

Advisor at R•••••• W••••• A•••••••• I•••

FARMINGTON, CT | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:12b540dd-b442-a6e3-b8f3-582b826b20f9

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: 1
On other graphs: 0
Observed: Jun 28, 2016 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•••••• W••••• A•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 30, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• W••••• A•••••••• I•••	Independent wealth	May 2, 2023	n/a	yes	FARMINGTON, CT\|MINNEAPOLIS, MN	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Sep 18, 2020	May 2, 2023	no	WEST HARTFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	R•••••• W••••• A•••••••• I•••	May 2, 2023	May 2, 2023	0	Firm change	Ibd to RIA
S•• A•••••••• I•••	S••••••••• A•••••• A•••••••• I•••	Sep 18, 2020	Sep 18, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
110518:146616:CT:2023-05-02	May 2, 2023	May 2, 2023	WEST HARTFORD, CT	Firm change

Relationships

Registered with (3)

→ R•••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
May 2, 2023 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Sep 18, 2020 to May 2, 2023factForm ADV
→ S•• A•••••••• I•••Registered adviserregistration: previous registration
Jun 28, 2016 to Sep 18, 2020factForm ADV

Dated events

Occurred
May 2, 2023
Advisor changed firm
D•••• A•••••• S•••••••• left S••••••••• A•••••• A•••••••• I••• for R•••••• W••••• A•••••••• I••• (registered 2023-05-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12b540dd-b442-a6e3-b8f3-582b826b20f9
First observed: Jun 28, 2016
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.