DFX Intelligence

Data Factory

J••• A••••• O•••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisor43 years in industry

J••• A••••• O•••••••

Advisor at F•••••• I••••••••• M••••••••• I•••

SOUTH WINDSOR, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:18457000-6eaa-8072-b327-bdf8390dca8b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 1, 1999 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: F•••••• I••••••••• M••••••••• I•••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 6, 1983earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
F•••••• I••••••••• M••••••••• I•••	Independent wealth	Dec 12, 2023	n/a	yes	SOUTH WINDSOR, CT	Current employment
3••• C•••••• M••••••••• L••	Former SEC adviser	Apr 8, 2021	Dec 31, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
3••• C•••••• M••••••••• L••	F•••••• I••••••••• M••••••••• I•••	Dec 31, 2023	Dec 12, 2023	-19	Channel change	RIA to RIA
3• A•••• M••••••••• I•••	3••• C•••••• M••••••••• L••	Mar 31, 2021

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283304:126052:CT:2023-12-21	Dec 31, 2023	Dec 12, 2023	HARTFORD, CT	Firm change
139595:283304:CT:2021-03-31	Mar 31, 2021	Apr 8, 2021	HARTFORD, CT	Firm change

Relationships

Registered with (5)

→ F•••••• I••••••••• M••••••••• I•••Registered adviserregistration: current employment
Dec 12, 2023 to presentfactForm ADV
→ 3••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 8, 2021 to Dec 31, 2023factForm ADV
→ 3• A•••• M••••••••• I•••Registered adviserregistration: previous registration
Sep 21, 2016 to Mar 31, 2021factForm ADV
→ U•• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18457000-6eaa-8072-b327-bdf8390dca8b
First observed: Jun 1, 1999
Last observed: Sep 14, 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.