DFX Intelligence

K••••••• S••••• P••••: 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 / WealthAdvisorCertified Financial Planner30 years in industry

K••••••• S••••• P••••

Advisor at A••••• W•••••

WEST HARTFORD, CT | Knoxville, TN

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:66f71d42-f5e3-39e1-23c5-8a24ac25422b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 10, 2004 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: A••••• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••• W•••••	Independent wealth	Jul 7, 2017	n/a	yes	WEST HARTFORD, CT\|Knoxville, TN	Current employment
S••••••• P•••••••	Independent wealth	Jul 7, 2017	Feb 6, 2019	no	Knoxville, TN\|GLASTONBURY, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• P•••••••	A••••• W•••••	Feb 6, 2019	Jul 7, 2017	-579	Firm change after gap	Other
P•••••• I••••••••• M••••••••• G•••• I••	S••••••• P•••••••	Jun 30, 2017	Jul 7, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
120982:171106:CT:2019-02-05	Feb 6, 2019	Jul 7, 2017	GLASTONBURY, CT	Firm change after gap

Relationships

Registered with (4)

→ A••••• W•••••Registered adviserregistration: current employment
Jul 7, 2017 to presentfactForm ADV
→ S••••••• P•••••••Registered adviserregistration: previous registration
Jul 7, 2017 to Feb 6, 2019factForm ADV
→ P•••••• I••••••••• M••••••••• G•••• I••Registered adviserregistration: previous registration
Jan 5, 2011 to Jun 30, 2017factForm ADV
→ G••••••••• C•••••• M••••••••• P•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66f71d42-f5e3-39e1-23c5-8a24ac25422b
First observed: Mar 10, 2004
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.