DFX Intelligence

I••• L••••••• L•••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

I••• L••••••• L•••• M•••••

Advisor at T••••••••• R••••••••• A•••••••• L••

Thomaston, CT

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Search this name across graphsid dfx:ria:57e35b3e-1acb-db69-9b9e-5731c27b6b22

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 5, 2020 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: T••••••••• R••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 7, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• R••••••••• A•••••••• L••	Bd affiliated wealth	Jun 1, 2022	n/a	yes	Thomaston, CT	Current employment
P••••••••• S••••• S••••••••• L••	Institutional manager	Oct 5, 2020	Nov 29, 2020	no	Hartford, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• S••••• S••••••••• L••	T••••••••• R••••••••• A•••••••• L••	Nov 29, 2020	Jun 1, 2022	549	Firm change after gap	RIA to ibd

Relationships

Registered with (2)

→ T••••••••• R••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 1, 2022 to presentfactForm ADV
→ P••••••••• S••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 5, 2020 to Nov 29, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:57e35b3e-1acb-db69-9b9e-5731c27b6b22
First observed: Oct 5, 2020
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.