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RIA / WealthAdvisorCertified Financial Planner17 years in industry

COLIN MICHAEL DUGAN

Advisor at PRINCIPLE WEALTH

MADISON, CT

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Search this name across graphsid dfx:ria:9b07cd42-abbb-ca4e-7f6b-01a2ed1ad253

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 11, 2009 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: PRINCIPLE WEALTH
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 10, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Mar 10, 2009
First registration: Mar 11, 2009
Dual registered: no
IAPD individual key: 5422959

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
PRINCIPLE WEALTH	Independent wealth	Jul 2, 2018	n/a	yes	MADISON, CT	Current employment
NORTHSTAR WEALTH PARTNERS LLC	Former SEC adviser	Sep 22, 2017	Jul 2, 2018	no	OLD SAYBROOK, CT\|WEST HARTFORD, CT	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 11, 2013	Jun 12, 2018	no	OLD SAYBROOK, CT\|WEST HARTFORD, CT	Previous registration
ESSEX FINANCIAL SERVICES, INC.	Independent wealth	Jun 30, 2010	Nov 20, 2013	no	ESSEX, CT\|ESSEX, CT	Previous registration
DIASTOLE WEALTH MANAGEMENT	Independent wealth	Mar 11, 2009	Jun 22, 2010	no	GUILFORD, CT\|OLD SAYBROOK, CT	Previous registration

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
NORTHSTAR WEALTH PARTNERS LLC	PRINCIPLE WEALTH	Jul 2, 2018	Jul 2, 2018	0	Firm change	RIA to RIA
LPL FINANCIAL LLC	NORTHSTAR WEALTH PARTNERS LLC	Jun 12, 2018	Sep 22, 2017	-263	Firm change after gap	Other
ESSEX FINANCIAL SERVICES, INC.	LPL FINANCIAL LLC	Nov 20, 2013	Jul 11, 2013	-132	Firm change after gap	Other
DIASTOLE WEALTH MANAGEMENT	ESSEX FINANCIAL SERVICES, INC.	Jun 22, 2010	Jun 30, 2010	8	Firm change	Other

Relationships

Registered with (5)

→ PRINCIPLE WEALTHRegistered adviserregistration: current employment
Jul 2, 2018 to presentfactForm ADV
→ NORTHSTAR WEALTH PARTNERS LLCRegistered adviserregistration: previous registration
Sep 22, 2017 to Jul 2, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 11, 2013 to Jun 12, 2018factForm ADV
→ ESSEX FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 30, 2010 to Nov 20, 2013factForm ADV
→ DIASTOLE WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 11, 2009 to Jun 22, 2010factForm ADV

Dated events

No dated event names this entity yet.