DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

R••••• A•••••• B••••••

Advisor at S••••• F••••••••• L••

DANBURY, CT

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Search this name across graphsid dfx:ria:ace96f05-7f98-77c9-9890-821d24cb3b10

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 11, 2002 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: S••••• F••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 11, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F••••••••• L••	Bd affiliated wealth	Sep 2, 2020	n/a	yes	DANBURY, CT	Current employment
S••••• F•••••••• R•••••••• I••	Former SEC adviser	Apr 30, 2010	Sep 20, 2018	no	PARSIPPANY, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• E••••••• I••	S••••• F••••••••• L••	Dec 27, 2018	Sep 2, 2020	615	Firm change after gap	RIA to ibd
S••••• F•••••••• R•••••••• I••	S••••• E••••••• I••	Sep 20, 2018	Apr 30, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
104990:11039:NJ:2018-09-20	Sep 20, 2018	Apr 30, 2010	PARSIPPANY, NJ	Firm change after gap

Relationships

Registered with (5)

→ S••••• F••••••••• L••Registered adviserregistration: current employment
Sep 2, 2020 to presentfactForm ADV
→ S••••• E••••••• I••Registered adviserregistration: previous registration
Apr 30, 2010 to Dec 27, 2018factForm ADV
→ S••••• F•••••••• R•••••••• I••Registered adviserregistration: previous registration
Apr 30, 2010 to Sep 20, 2018factForm ADV
→ A••••••• A••••••• S•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ace96f05-7f98-77c9-9890-821d24cb3b10
First observed: Dec 11, 2002
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.