DFX Intelligence

R•••••• D•••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner27 years in industry

R•••••• D•••• G••••

Advisor at S••••••••• A•••• M••••••••• L••

CHESHIRE, CT

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Search this name across graphsid dfx:ria:4e802718-1f60-f024-faaf-f049c55baaff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 11, 2003 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••••••••• A•••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 28, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• A•••• M••••••••• L••	Independent wealth	Sep 26, 2011	n/a	yes	CHESHIRE, CT	Current employment
A•••• S••••••••• I•••	Former SEC adviser	Feb 2, 2009	Sep 19, 2011	no	AVON, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• S••••••••• I•••	S••••••••• A•••• M••••••••• L••	Sep 19, 2011	Sep 26, 2011	7	Firm change	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Sep 13, 2007	Nov 28, 2006

Relationships

Registered with (6)

→ S••••••••• A•••• M••••••••• L••Registered adviserregistration: current employment
Sep 26, 2011 to presentfactForm ADV
→ A•••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 2, 2009 to Sep 19, 2011factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 28, 2006 to Sep 13, 2007factForm ADV
→ T• A••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e802718-1f60-f024-faaf-f049c55baaff
First observed: Dec 11, 2003
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.