DFX Intelligence

R•••••• P••• B••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)40 years in industry

R•••••• P••• B••••••••

Advisor at O• I••••••••• M••••••••• C•

Lyme, CT

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Search this name across graphsid dfx:ria:95c57935-81d3-0d34-4956-692e0ea10b44

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2001 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: O• I••••••••• M••••••••• C•
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O• I••••••••• M••••••••• C•	Bd affiliated wealth	Jan 24, 2012	n/a	yes	Lyme, CT	Current employment
P••• A••••• S••••••••• L••	Bd affiliated wealth	Jan 2, 2001	Jan 26, 2012	no	GLASTONBURY, CT\|WEST HARTFORD, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••• A••••• S••••••••• L••	O• I••••••••• M••••••••• C•	Jan 26, 2012	Jan 24, 2012	-2	Firm change	Other

Relationships

Registered with (2)

→ O• I••••••••• M••••••••• C•Registered adviserregistration: current employment
Jan 24, 2012 to presentfactForm ADV
→ P••• A••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 2, 2001 to Jan 26, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95c57935-81d3-0d34-4956-692e0ea10b44
First observed: Jan 2, 2001
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.