A••••• S••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3e10da27-1984-1554-bd5c-835320de4025

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: May 27, 2022 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Dec 17, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 16, 2025	n/a	yes	Auburndale, MA\|Old Saybrook, CT\|Plainville, MA	Current employment
S••••••• F••••••••• L••	Independent wealth	Feb 7, 2023	Jul 3, 2025	no	ESSEX, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• F••••••••• L••	A••••••••• F•••••••• S•••••••• L••	Jul 3, 2025	Oct 16, 2025	105	Firm change	RIA to ibd
L•• F•••••••• L••	S••••••• F••••••••• L••	Feb 13, 2023	Feb 7, 2023

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 16, 2025 to presentfactForm ADV
→ S••••••• F••••••••• L••Registered adviserregistration: previous registration
Feb 7, 2023 to Jul 3, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 27, 2022 to Feb 13, 2023factForm ADV

Dated events

Occurred
Jul 3, 2025
Advisor changed firm
A••••• S•••••• left S••••••• F••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-10-16)
Form ADVobserved 7 days ago
Occurred
Feb 13, 2023
Advisor changed firm
A••••• S•••••• left L•• F•••••••• L•• for S••••••• F••••••••• L•• (registered 2023-02-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e10da27-1984-1554-bd5c-835320de4025
First observed: May 27, 2022
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.