DFX Intelligence

D•••• J••••• C••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

D•••• J••••• C••••••

Advisor at C••••••••• F•••••••• N••••••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:954f833c-06e8-34f4-d818-67dda2b72ade

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 17, 2015 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••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 1, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Sep 8, 2026	n/a	yes	WALTHAM, MA\|Waterbury, CT\|Stamford, CT	Current employment
L•• F•••••••• L••	Bd affiliated wealth	May 15, 2018	Sep 4, 2026	no	RIDGEFIELD, CT\|WESTPORT, CT\|FAIRFIELD, CT\|FAIRFIELD, CT\|WATERBURY, CT\|MIDDLEBURY, CT\|WILTON, CT\|WATERBURY, CT\|SHELTON, CT\|SHELTON, CT\|DERBY, CT\|MONROE, CT\|OLD SAYBROOK, CT\|ESSEX, CT\|SOUTHINGTON, CT\|MADISON, CT\|STRATFORD, CT\|BRIDGEPORT, CT\|TRUMBULL, CT\|OLD LYME, CT\|ESSEX, CT\|JERICHO, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	C••••••••• F•••••••• N••••••	Sep 4, 2026	Sep 8, 2026	4	Firm change	Ibd to ibd
C•••••••• G••••• M•••••• I•••	L•• F•••••••• L••	Jun 7, 2018	May 15, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
6413:79:CT:2015-08-24	Aug 24, 2015	Sep 10, 2015	WEST HAVEN, CT	Firm change

Relationships

Registered with (4)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
May 15, 2018 to Sep 4, 2026factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Aug 30, 2017 to Jun 7, 2018factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Sep 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:954f833c-06e8-34f4-d818-67dda2b72ade
First observed: Feb 17, 2015
Last observed: Sep 14, 2026 9 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.