DFX Intelligence

K••••••• J••• S••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

K••••••• J••• S••••

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

BERLIN, CT | HARTFORD, CT

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Search this name across graphsid dfx:ria:7ce4dfd6-7663-7f3e-d8bb-3af0e309c5c4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2005 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: Dec 20, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 13derivedfrom 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	Nov 26, 2012	n/a	yes	HARTFORD, CT\|BERLIN, CT	Current employment
P••••••• S••••••••• I•••	Former SEC adviser	May 18, 2011	Oct 19, 2012	no	WETHERSFIELD, CT\|AVON, CT\|SIMSBURY, CT\|GRANBY, CT\|BRISTOL, CT\|UNIONVILLE, CT\|ROCKY HILL, CT\|NORTH CANAAN, CT\|WINSTED, CT\|WETHERSFIELD, CT\|BRIDGEPORT, CT\|BRIDGEPORT, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• S••••••••• I•••	V••••• I••••••••• A•••••••• L••	Oct 19, 2012	Nov 26, 2012	38	Firm change	Other
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	P••••••• S••••••••• I•••	May 4, 2011	May 18, 2011

Relationships

Registered with (5)

→ V••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 26, 2012 to presentfactForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
May 18, 2011 to Oct 19, 2012factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jul 6, 2010 to May 4, 2011factForm ADV
→ M•• F•••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ce4dfd6-7663-7f3e-d8bb-3af0e309c5c4
First observed: Jan 3, 2005
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.