DFX Intelligence

R••••• D•••• L•••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor46 years in industry

R••••• D•••• L•••

Advisor at D•••••• C• L••• • A•••••••••

Boca Grande, FL

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Search this name across graphsid dfx:ria:35b7a8bc-1b7a-242a-b259-95a008543826

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 30, 1991 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: D•••••• C• L••• • A•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 7, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••• C• L••• • A•••••••••	Independent wealth	Oct 1, 2025	n/a	yes	Boca Grande, FL	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Apr 15, 2015	no	MADISON, CT\|NEW HAVEN, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	D•••••• C• L••• • A•••••••••	Apr 15, 2015	Oct 1, 2025	3,822	Firm change after gap	Wirehouse to RIA
M••••• S•••••• • C•• L••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (4)

→ D•••••• C• L••• • A•••••••••Registered adviserregistration: current employment
Oct 1, 2025 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Apr 15, 2015factForm ADV
→ M••••• S•••••• • C•• L••Registered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:35b7a8bc-1b7a-242a-b259-95a008543826
First observed: Aug 30, 1991
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.