DFX Intelligence

C••••••••• P••• A••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

C••••••••• P••• A••••••

Advisor at I••••••••• W••••• C••••••• L••

WATERFORD, CT

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Search this name across graphsid dfx:ria:90b1fb36-c268-dd31-000f-2462678f0a6c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 26, 2016 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: I••••••••• W••••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 1, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• W••••• C••••••• L••	Independent wealth	Jan 9, 2017	n/a	yes	WATERFORD, CT	Current employment
E•••••••• A•••••••• L••	National bd RIA	Oct 26, 2016	Dec 2, 2016	no	SAN DIEGO, CA\|SAN DIEGO, CA\|SAN DIEGO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••••• A•••••••• L••	I••••••••• W••••• C••••••• L••	Dec 2, 2016	Jan 9, 2017	38	Firm change	Other

Relationships

Registered with (2)

→ I••••••••• W••••• C••••••• L••Registered adviserregistration: current employment
Jan 9, 2017 to presentfactForm ADV
→ E•••••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 26, 2016 to Dec 2, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:90b1fb36-c268-dd31-000f-2462678f0a6c
First observed: Oct 26, 2016
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.