DFX Intelligence

C•••••• M••••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner30 years in industry

C•••••• M••••• G••••

Advisor at S••••••••• A•••• M••••••••• L••

CHESHIRE, CT

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Search this name across graphsid dfx:ria:29e0d513-3d43-c589-04c0-36f73a780855

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 16, 1997 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: S••••••••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 12, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••• M••••••••• L••	Independent wealth	Sep 17, 2010	n/a	yes	CHESHIRE, CT	Current employment
S••••••• P•••••••	Independent wealth	Jun 21, 2007	Aug 4, 2010	no	GLASTONBURY, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• P•••••••	S••••••••• A•••• M••••••••• L••	Aug 4, 2010	Sep 17, 2010	44	Firm change	Other
C••••••••• I••••••••• M•••••••••	S••••••• P•••••••	Apr 30, 2007	Jun 21, 2007

Relationships

Registered with (6)

→ S••••••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Sep 17, 2010 to presentfactForm ADV
→ S••••••• P•••••••Registered adviserregistration: previous registration
Jun 21, 2007 to Aug 4, 2010factForm ADV
→ C••••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Apr 12, 2007 to Apr 30, 2007factForm ADV
→ N••••••••• I••••••••• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:29e0d513-3d43-c589-04c0-36f73a780855
First observed: Sep 16, 1997
Last observed: Sep 14, 2026 9 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.