DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

L••• J••••• V•••••••

Advisor at R•• C•••••• M••••••• L••

Farmington, CT | Burlington, CT

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:4528b787-7952-85e8-0062-9f29e55fe65e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2013 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 17, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Jan 3, 2022	n/a	yes	Farmington, CT\|Burlington, CT	Current employment
G•• F•••••••• S••••••••• L••	Former SEC adviser	Nov 1, 2016	Sep 1, 2021	no	West Hartford, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G•• F•••••••• S••••••••• L••	R•• C•••••• M••••••• L••	Sep 1, 2021	Jan 3, 2022	124	Firm change	RIA to ibd
W•••• F•••• A•••••••	G•• F•••••••• S••••••••• L••	Aug 2, 2016	Nov 1, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
11025:284758:CT:2016-08-02	Aug 2, 2016	Nov 1, 2016	WEST HARTFORD, CT	Firm change

Relationships

Registered with (4)

→ R•• C•••••• M••••••• L••Registered adviserregistration: current employment
Jan 3, 2022 to presentfactForm ADV
→ G•• F•••••••• S••••••••• L••Registered adviserregistration: previous registration
Nov 1, 2016 to Sep 1, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 20, 2014 to Aug 2, 2016factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4528b787-7952-85e8-0062-9f29e55fe65e
First observed: Jan 17, 2013
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.