DFX Intelligence

C•••••• R••• S•••••••• P••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserState registeredState registeredRAUM 100m 1b

C•••••• R••• S•••••••• P••••••• L••

CRD 165043

WATERFORD, CT

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Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 12, 2026 to May 12, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $103M••• Locked
Discretionary RAUM: $52.7M
Private client RAUM: $103Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 6
Advisory employees: 4

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• M• G••••••••	Certified Financial Planner	WATERFORD, CT	13	34	2	yes
L••• T•••••• C•••••••	n/a	WATERFORD, CT	13	18

Relationships

Registered with (4)

← T••••• G••••••••Advisorregistration: current employment
Feb 18, 2026 to presentfactForm ADV
← T•••• S•••••••• L•••••••Advisorregistration: current employment
Aug 14, 2025 to presentfactForm ADV
← S••••• M• G••••••••Advisorregistration: current employment
Dec 10, 2012 to presentfactForm ADV
← L••• T•••••• C•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 12, 2026
Last observed: May 12, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds 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.