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E••• A••• T•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner35 years in industry

E••• A••• T•••••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Madison, CT

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Search this name across graphsid dfx:ria:7f0e680d-5349-0d02-9945-3740af8c53de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 8, 1999 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Dec 15, 2022	n/a	yes	Madison, CT	Current employment
C••••••••• C•••••• M••••••••• G••••• L••	Independent wealth	Nov 26, 2019	Dec 21, 2022	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• C•••••• M••••••••• G••••• L••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Dec 21, 2022	Dec 15, 2022	-6	Firm change	RIA to ibd
C•••••••• I••••••••• R••••••• A•••••••• I•••	C••••••••• C•••••• M••••••••• G••••• L••	Dec 5, 2019

Relationships

Registered with (3)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Aug 19, 2011 to Dec 5, 2019factForm ADV
→ C••••••••• C•••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
Nov 26, 2019 to Dec 21, 2022factForm ADV
→ C••••••••• C•••••• M••••••••• G•••• L•••••Registered adviserregistration: previous registration
Jan 8, 1999 to Dec 31, 2011factForm ADV

Dated events

Occurred
Dec 21, 2022
Advisor changed firm
E••• A••• T••••••• left C••••••••• C•••••• M••••••••• G••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-12-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f0e680d-5349-0d02-9945-3740af8c53de
First observed: Jan 8, 1999
Last observed: Sep 14, 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.