DFX Intelligence

A•••••• G•••••• R••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

A•••••• G•••••• R••••

Advisor at E•••• F•••••••• S•••••••• I•••

E••••, CT | Farmington, CT

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2001 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: E•••• F•••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jan 4, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• F•••••••• S•••••••• I•••	Independent wealth	Mar 2, 2010	n/a	yes	Farmington, CT\|E••••, CT	Current employment
T• W••••• M••••••••• S••••••• I•••	n/a	Nov 17, 2009	Feb 25, 2010	no	NEW BRITAIN, CT\|SOUTHBURY, CT\|BRISTOL, CT\|BRIDGEPORT, CT\|NEWINGTON, CT\|MERIDEN, CT\|PLANTSVILLE, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T• W••••• M••••••••• S••••••• I•••	E•••• F•••••••• S•••••••• I•••	Feb 25, 2010	Mar 2, 2010	5	Firm change	Other
C••••• I••••••••• S••••••• L••	T• W••••• M••••••••• S••••••• I•••	Nov 17, 2009	Nov 17, 2009

Relationships

Registered with (4)

→ E•••• F•••••••• S•••••••• I•••Registered adviserregistration: current employment
Mar 2, 2010 to presentfactForm ADV
→ T• W••••• M••••••••• S••••••• I•••Registered adviserregistration: previous registration
Nov 17, 2009 to Feb 25, 2010factForm ADV
→ C••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Mar 4, 2003 to Nov 17, 2009factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 9, 2001
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.