DFX Intelligence

P•••• D••••• W•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

P•••• D••••• W•••••

Advisor at U•• A•••••••

Carmel, IN | GLASTONBURY, CT

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Search this name across graphsid dfx:ria:393bdedf-9f09-4937-2a8f-821f0320f164

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 20, 2007 to Sep 15, 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: U•• A•••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• A•••••••	Institutional manager	Apr 8, 2024	n/a	yes	GLASTONBURY, CT\|Carmel, IN	Current employment
O••••••••• S••••••••• I•••	Bd affiliated wealth	Jan 31, 2022	May 25, 2023	no	INDIANAPOLIS, IN\|CARMEL, IN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O••••••••• S••••••••• I•••	U•• A•••••••	May 25, 2023	Apr 8, 2024	319	Firm change	Other
C••• I••••••••• A••••••• S•••••••• L••	O••••••••• S••••••••• I•••	Sep 7, 2021	Jan 31, 2022

Relationships

Registered with (6)

→ U•• A•••••••Registered adviserregistration: current employment
Apr 8, 2024 to presentfactForm ADV
→ O••••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jan 31, 2022 to May 25, 2023factForm ADV
→ C••• I••••••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Oct 19, 2020 to Sep 7, 2021factForm ADV
→ M• R•••••••••

Dated events

Occurred
May 25, 2023
Advisor changed firm
P•••• D••••• W••••• left O••••••••• S••••••••• I••• for U•• A••••••• (registered 2024-04-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:393bdedf-9f09-4937-2a8f-821f0320f164
First observed: Sep 20, 2007
Last observed: Sep 15, 2026 7 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.