DFX Intelligence

S•••• B••• C•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

S•••• B••• C•••••• L••

CRD 334535

DARIEN, CT

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Search this name across graphsid dfx:ria:9cfaa280-f46b-791c-e89b-ee1d93e09db4

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2026 to Mar 27, 2026
1 observations

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

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $5.7M••• Locked
Discretionary RAUM: $5.7M
Private client RAUM: $5.7Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••••• S•••••••• M•••••	n/a	DARIEN, CT	1	45	4	no

Relationships

Registered with (1)

← G•••••• S•••••••• M•••••Advisorregistration: current employment
Jun 24, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9cfaa280-f46b-791c-e89b-ee1d93e09db4
First observed: Mar 27, 2026
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds 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.