DFX Intelligence

C••••••••• S••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

C••••••••• S••• B•••••••

Advisor at W•••• F•••• A•••••••

SOUTHINGTON, CT

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Search this name across graphsid dfx:ria:1c3fb226-24b5-43f0-118a-22047c9a41ee

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2003 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 3, 1986earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Aug 5, 2022	n/a	yes	SOUTHINGTON, CT	Current employment
W•••• F•••• A•••••••	Wirehouse	Jan 1, 2008	Aug 5, 2022	no	FARMINGTON, CT\|FARMINGTON, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	W•••• F•••• A•••••••	Aug 5, 2022	Aug 5, 2022	0	Channel change	Wirehouse to wirehouse
A• G• E•••••• • S•••• I•••	W•••• F•••• A•••••••	Jan 1, 2008	Jan 1, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:11025:CT:2022-08-04	Aug 5, 2022	Aug 5, 2022	FARMINGTON, CT	Firm change

Relationships

Registered with (3)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Aug 5, 2022 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jan 1, 2008 to Aug 5, 2022factForm ADV
→ A• G• E•••••• • S•••• I•••Registered adviserregistration: previous registration
Nov 7, 2003 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c3fb226-24b5-43f0-118a-22047c9a41ee
First observed: Nov 7, 2003
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.