DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)38 years in industry

W•••••• M•••••• D•••••••••

Advisor at M•• I•••••••• S•••••••• L••

WEST HARTFORD, CT | EAST HADDAM, CT

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Search this name across graphsid dfx:ria:44f539ea-d858-1724-3ea4-fb6427491fa1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2002 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 22, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Mar 25, 2017	n/a	yes	WEST HARTFORD, CT\|EAST HADDAM, CT	Current employment
M•• F•••••••• S•••••••• I•••	Former SEC adviser	Jan 2, 2015	Mar 25, 2017	no	WEST HARTFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•• F•••••••• S•••••••• I•••	M•• I•••••••• S•••••••• L••	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
N•• E•••••• S••••••••• C•••••••••	M•• F•••••••• S•••••••• I•••	Jan 2, 2015	Jan 2, 2015

Relationships

Registered with (3)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ M•• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jan 2, 2015 to Mar 25, 2017factForm ADV
→ N•• E•••••• S••••••••• C•••••••••Registered adviserregistration: previous registration
Jan 2, 2002 to Jan 2, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44f539ea-d858-1724-3ea4-fb6427491fa1
First observed: Jan 2, 2002
Last observed: Sep 15, 2026 8 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.