DFX Intelligence

D••• M••••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

D••• M••••••• C••••••

Advisor at V••••• I••••••••• A•••••••• L••

HARTFORD, CT | UNIVERSAL CITY, TX

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:5c21e702-3e58-ff68-2732-48be5efe02df

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 14, 2017 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: V••••• I••••••••• A•••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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
V••••• I••••••••• A•••••••• L••	Asset manager	Jan 23, 2023	n/a	yes	HARTFORD, CT\|UNIVERSAL CITY, TX	Current employment
D••••••••• F••• A••••••• L•	Asset manager	Apr 4, 2019	Mar 21, 2022	no	AUSTIN, TX	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••••• F••• A••••••• L•	V••••• I••••••••• A•••••••• L••	Mar 21, 2022	Jan 23, 2023	308	Firm change	Other
T• A••••••••• I••••••••• M••••••••• L••	T• A••••••••• I•••	Feb 27, 2019	Feb 27, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
111514:7870:NE:2019-02-14	Feb 27, 2019	Feb 27, 2018	OMAHA, NE	Firm change after gap

Relationships

Registered with (5)

→ V••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Jan 23, 2023 to presentfactForm ADV
→ D••••••••• F••• A••••••• L•Registered adviserregistration: previous registration
Apr 4, 2019 to Mar 21, 2022factForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Feb 26, 2018 to Feb 27, 2019factForm ADV
→ T• A••••••••• I•••

Dated events

Occurred
Mar 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5c21e702-3e58-ff68-2732-48be5efe02df
First observed: Mar 14, 2017
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.