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T••••• C•••• W•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

T••••• C•••• W•••••••••

Advisor at C•••••• S••••• • C••• I•••

Stamford, CT

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Search this name across graphsid dfx:ria:a1db8923-4668-a9b7-fb0e-a44d6c30a3de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 24, 2008 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

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
C•••••• S••••• • C••• I•••	National bd RIA	Apr 12, 2022	n/a	yes	Stamford, CT	Current employment
T• A••••••••• I••••••••• M••••••••• L••	Former SEC adviser	Jan 27, 2022	Sep 7, 2023	no

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
T• A••••••••• I••••••••• M••••••••• L••	C•••••• S••••• • C••• I•••	Sep 7, 2023	Apr 12, 2022	-513	Bulk transfer	RIA to ibd
T• A••••••••• I•••	T• A••••••••• I••••••••• M••••••••• L••	Oct 14, 2022

Relationships

Registered with (6)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Apr 12, 2022 to presentfactForm ADV
→ T• A••••••••• I••••••••• M••••••••• L••Registered adviserregistration: previous registration
Jan 27, 2022 to Sep 7, 2023factForm ADV
→ T• A••••••••• I•••Registered adviserregistration: previous registration
Jan 27, 2022 to Oct 14, 2022factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1db8923-4668-a9b7-fb0e-a44d6c30a3de
First observed: Dec 24, 2008
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.