DFX Intelligence

S••••• C• P••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

S••••• C• P••••••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Bridgeport, CT | STAMFORD, CT

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Search this name across graphsid dfx:ria:4e8e07d2-43ea-3774-64b5-a00f0982dea1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 25, 2014 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Sep 4, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Mar 24, 2023	n/a	yes	Bridgeport, CT\|STAMFORD, CT	Current employment
M••••• W•••••• L••	Former SEC adviser	Mar 24, 2022	Oct 31, 2022	no	Hartford, CT\|CLEVELAND, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• W•••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 31, 2022	Mar 24, 2023	144	Firm change	RIA to wirehouse
T•••••• P•••• A•••••••• L••	M••••• W•••••• L••	Mar 14, 2022	Mar 24, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
149777:8174:NY:2016-09-20	Oct 12, 2016	Oct 19, 2016	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Mar 24, 2023 to presentfactForm ADV
→ M••••• W•••••• L••Registered adviserregistration: previous registration
Mar 24, 2022 to Oct 31, 2022factForm ADV
→ T•••••• P•••• A•••••••• L••Registered adviserregistration: previous registration
Feb 4, 2021 to Mar 14, 2022factForm ADV
→ U•• F•••••••• S••••••• I•••

Dated events

Occurred
Oct 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 14, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e8e07d2-43ea-3774-64b5-a00f0982dea1
First observed: Jul 25, 2014
Last observed: Sep 14, 2026 9 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.