DFX Intelligence

C••• A••• S••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor42 years in industry

C••• A••• S••••••

Advisor at R••••••••• A•••••••• L••

NORWALK, CT | Eugene, OR

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Search this name across graphsid dfx:ria:9f006c61-ee60-cdd8-f7f5-45df7d6b849e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Apr 23, 2003 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: R••••••••• A•••••••• L••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Feb 3, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R••••••••• A•••••••• L••	Mixed wealth	Feb 11, 2021	n/a	yes	NORWALK, CT\|Eugene, OR	Current employment
D••••••• S••••••••• L••	Independent wealth	Jun 27, 2016	Feb 17, 2021	no	Eugene, OR\|New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••• S••••••••• L••	R••••••••• A•••••••• L••	Feb 17, 2021	Feb 11, 2021	-6	Firm change	RIA to new firm
L•••••••• W••••• A•••••••• L••	D••••••• S••••••••• L••	Jun 28, 2016	Jun 27, 2016

Relationships

Registered with (6)

→ R••••••••• A•••••••• L••Registered adviserregistration: current employment
Feb 11, 2021 to presentfactForm ADV
→ D••••••• S••••••••• L••Registered adviserregistration: previous registration
Jun 27, 2016 to Feb 17, 2021factForm ADV
→ L•••••••• W••••• A•••••••• L••Registered adviserregistration: previous registration
Oct 24, 2014 to Jun 28, 2016factForm ADV
→ C•••••• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f006c61-ee60-cdd8-f7f5-45df7d6b849e
First observed: Apr 23, 2003
Last observed: Sep 14, 2026 8 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.