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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

V•••••• G•••••• A•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

Stratford, CT

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Search this name across graphsid dfx:ria:89b640c8-12c5-6f05-2f49-6b724f569a59

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 15, 1998 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 11, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 2derivedfrom 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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	May 24, 2024	n/a	yes	Stratford, CT\|Stratford, CT	Current employment
S••••• O• A•••••• M••••••••• C•••	Asset manager	Mar 29, 2018	Jun 3, 2024	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
S••••• O• A•••••• M••••••••• C•••	A••••••••• F•••••••• S•••••••• L••	Jun 3, 2024	May 24, 2024	-10	Firm change	Other
M••••• S•••••• D• I•••	S••••• O• A•••••• M••••••••• C•••	Dec 9, 2002

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
May 24, 2024 to presentfactForm ADV
→ S••••• O• A•••••• M••••••••• C•••Registered adviserregistration: previous registration
Mar 29, 2018 to Jun 3, 2024factForm ADV
→ M••••• S•••••• D• I•••Registered adviserregistration: previous registration
Apr 15, 1998 to Dec 9, 2002factForm ADV

Dated events

Occurred
Jun 3, 2024
Advisor changed firm
V•••••• G•••••• A••••• left S••••• O• A•••••• M••••••••• C••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-05-24)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:89b640c8-12c5-6f05-2f49-6b724f569a59
First observed: Apr 15, 1998
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.