DFX Intelligence

S•••• W••• M•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

S•••• W••• M•••• M••••••••• L••

CRD 331409

SHELTON, CT

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Search this name across graphsid dfx:ria:3c35e863-9065-6faf-7a99-cba5f6831651

Data as of May 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 28, 2026 to May 28, 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: $8.8M••• Locked
Discretionary RAUM: $8.8M
Private client RAUM: $8.8Mderived••• 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
M•••••• J• L••••••••	n/a	SHELTON, CT	2	25	5	no
A•••••• P•••••	n/a	SHELTON, CT	1	11

Relationships

Registered with (6)

← L•••• N•••• L••••••••Advisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← B••••••• M•••••• B•••••Advisorregistration: current employment
May 15, 2026 to presentfactForm ADV
← C•••••• M•••• C••••••Advisorregistration: current employment
Apr 28, 2025 to presentfactForm ADV
← R••••• B••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c35e863-9065-6faf-7a99-cba5f6831651
First observed: May 28, 2026
Last observed: May 28, 2026 3 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.