DFX Intelligence

C•••••• M••••• F••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C•••••• M••••• F••••••

Advisor at G•••••• W••••• P•••••••• L••

APPLETON, WI | Westbrook, CT

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Search this name across graphsid dfx:ria:938e5e9f-a289-60bc-5641-aba09b5459f0

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 23, 2001 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: G•••••• W••••• P•••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 20, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••••• W••••• P•••••••• L••	Independent wealth	Mar 19, 2024	n/a	yes	APPLETON, WI\|Westbrook, CT	Current employment
C•••••••• C•••••• W••••• M••••••••• L••	Independent wealth	Mar 8, 2016	Apr 10, 2024	no	Westbrook, CT\|WESTBROOK, CT\|Glastonbury, CT\|Westbrook, CT\|TAMPA, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••••• C•••••• W••••• M••••••••• L••	G•••••• W••••• P•••••••• L••	Apr 10, 2024	Mar 19, 2024	-22	Firm change	RIA to RIA
J• W• C••• A•••••••• I•••	C•••••••• C•••••• W••••• M••••••••• L••	Mar 8, 2016	Mar 8, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
112294:174670:FL:2016-03-08	Mar 8, 2016	Mar 8, 2016	TAMPA, FL	Firm change
29604:112294:CT:2016-03-03	Mar 3, 2016	Mar 2, 2016	WESTBROOK, CT	Firm change

Relationships

Registered with (7)

→ G•••••• W••••• P•••••••• L••Registered adviserregistration: current employment
Mar 19, 2024 to presentfactForm ADV
→ C•••••••• C•••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Mar 8, 2016 to Apr 10, 2024factForm ADV
→ J• W• C••• A•••••••• I•••Registered adviserregistration: previous registration
Mar 2, 2016 to Mar 8, 2016factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••

Dated events

Occurred
Apr 10, 2024
Advisor changed firm
C•••••• M••••• F•••••• left C•••••••• C•••••• W••••• M••••••••• L•• for G•••••• W••••• P•••••••• L•• (registered 2024-03-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:938e5e9f-a289-60bc-5641-aba09b5459f0
First observed: Apr 23, 2001
Last observed: Sep 15, 2026 7 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.