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R•• I••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM none

R•• I••••••••• L••

CRD 164697

VERNON, CT

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Search this name across graphsid dfx:ria:65cb82b6-19a2-235b-6c81-1992ae009522

Data as of Jan 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 30, 2025 to Jan 30, 2025
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Private client RAUM: $0derived••• Locked
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0
CRD: 164697

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• M•••••• P•••••••	n/a	VERNON, CT	1	24	5	no
P•••••• W• P••••	n/a	VERNON, CT	1	12

Relationships

Registered with (2)

← R•••• M•••••• P•••••••Advisorregistration: previous registration
Mar 12, 2013 to Dec 31, 2024factForm ADV
← P•••••• W• P••••Advisorregistration: previous registration
Jan 22, 2019 to Dec 31, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65cb82b6-19a2-235b-6c81-1992ae009522
First observed: Jan 30, 2025
Last observed: Jan 30, 2025 20 months ago
Source families: Federal regulator filings
3 registered feeds 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.