DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

B••• T• T•••••••••

Advisor at C••••••••• F•••••••• N••••••

Glastonbury, CT

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2016 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jul 14, 2026	n/a	yes	Glastonbury, CT	Current employment
K••••••• F•••••••• L••	Independent wealth	Jul 1, 2020	Jun 22, 2026	no	NEW HAVEN, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K••••••• F•••••••• L••	C••••••••• F•••••••• N••••••	Jun 22, 2026	Jul 14, 2026	22	Firm change	RIA to ibd
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	K••••••• F•••••••• L••	Jul 10, 2020	Jul 1, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
149018:309056:CT:2020-07-10	Jul 10, 2020	Jul 1, 2020	NEW HAVEN, CT	Firm change

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jul 14, 2026 to presentfactForm ADV
→ K••••••• F•••••••• L••Registered adviserregistration: previous registration
Jul 1, 2020 to Jun 22, 2026factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Nov 28, 2016 to Jul 10, 2020factForm ADV

Dated events

Order

Occurred
22 Jun 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 28, 2016
Last observed: Sep 14, 2026 10 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.