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A••••• E•••••••• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)26 years in industry

A••••• E•••••••• C•••••

Advisor at S•••• B••••••• F••••••••• L••

GLASTONBURY, 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:49782a56-58e6-363b-493f-a205898fcd8d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Apr 30, 2010 to Sep 14, 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: S•••• B••••••• F••••••••• L••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 11, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 3derivedfrom 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
S•••• B••••••• F••••••••• L••	Mixed wealth	Jan 5, 2023	n/a	yes	GLASTONBURY, CT	Current employment
M• H••••••• S••••••••• I•••	Bd affiliated wealth	Feb 13, 2021	Jan 17, 2023	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
M•••••• F•••••••• G••••• L••	M• H••••••• S••••••••• I•••	Jan 23, 2023	Feb 13, 2021	-709	Firm change after gap	Other
M• H••••••• S••••••••• I•••	S•••• B••••••• F••••••••• L••	Jan 17, 2023

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:287649:CT:2017-07-17	Jul 17, 2017	Mar 6, 2017	GLASTONBURY, CT	Firm change after gap

Relationships

Registered with (5)

→ S•••• B••••••• F••••••••• L••Registered adviserregistration: current employment
Jan 5, 2023 to presentfactForm ADV
→ M•••••• F•••••••• G••••• L••Registered adviserregistration: previous registration
Mar 6, 2017 to Jan 23, 2023factForm ADV
→ M• H••••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 13, 2021 to Jan 17, 2023factForm ADV
→ L•• F•••••••• L••

Dated events

Occurred
Jan 23, 2023
Advisor changed firm
A••••• E•••••••• C••••• left M•••••• F•••••••• G••••• L•• for M• H••••••• S••••••••• I••• (registered 2021-02-13)
Form ADVobserved 7 days ago
Occurred
Jan 17, 2023
Advisor changed firm
A••••• E•••••••• C••••• left M• H••••••• S••••••••• I••• for S•••• B••••••• F••••••••• L•• (registered 2023-01-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49782a56-58e6-363b-493f-a205898fcd8d
First observed: Apr 30, 2010
Last observed: Sep 14, 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.