DFX Intelligence

P••••••• A•• R•••••••: 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 Plannerdual registered (broker-dealer)38 years in industry

P••••••• A•• R•••••••

Advisor at O•••• I••••••••• I•••

••• Locked

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:6983d6a4-fba5-22ab-0b67-e8119b5da99c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 12, 1999 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: O•••• I••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 19, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••• I••••••••• I•••	Bd affiliated wealth	Jul 5, 2006	n/a	yes	GROTON, CT\|NORTH STONINGTON, CT\|MYSTIC, CT	Current employment
C••••••• S••••••••• I•••	Bd affiliated wealth	Mar 12, 1999	Jul 7, 2006	no	MYSTIC, CT\|GALES FERRY, CT\|PAWCATUCK, CT\|GROTON, CT\|WESTERLY, RI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• S••••••••• I•••	O•••• I••••••••• I•••	Jul 7, 2006	Jul 5, 2006	-2	Firm change	Other

Relationships

Registered with (2)

→ O•••• I••••••••• I•••Registered adviserregistration: current employment
Jul 5, 2006 to presentfactForm ADV
→ C••••••• S••••••••• I•••Registered adviserregistration: previous registration
Mar 12, 1999 to Jul 7, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6983d6a4-fba5-22ab-0b67-e8119b5da99c
First observed: Mar 12, 1999
Last observed: Sep 15, 2026 7 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.