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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

L••• R••••••••

Advisor at O•••• I••••••••• I•••

NEWTOWN, CT | Oxford, CT | Monroe, CT | Trumbull, CT

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Search this name across graphsid dfx:ria:3b1eb4f0-a5c5-5d1e-37e6-9121e11b3b23

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2006 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	May 2, 2022	n/a	yes	NEWTOWN, CT\|Monroe, CT\|Oxford, CT\|Trumbull, CT	Current employment
O•••• I••••••••• I•••	Bd affiliated wealth	Dec 23, 2013	Oct 21, 2016	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• C••••••• I•••	O•••• I••••••••• I•••	May 10, 2012	Dec 23, 2013	592	Firm change after gap	Other

Relationships

Registered with (2)

→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
Dec 23, 2013 to Oct 21, 2016factForm ADV
→ C••••••• C••••••• I•••Registered adviserregistration: previous registration
Aug 18, 2006 to May 10, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b1eb4f0-a5c5-5d1e-37e6-9121e11b3b23
First observed: Aug 18, 2006
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.