DFX Intelligence

D•••• P••••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

D•••• P••••• G•••••••

Advisor at A•••• C•••••• C••••

WESTPORT, CT | EAST HAVEN, CT

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Search this name across graphsid dfx:ria:b094f833-2352-9912-3294-4675190cbd04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 6, 1991 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: A•••• C•••••• C••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A•••• C•••••• C••••	Bd affiliated wealth	Apr 22, 2022	n/a	yes	WESTPORT, CT\|EAST HAVEN, CT	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 6, 1991	May 23, 2022	no	WOODBRIDGE, CT\|New Haven, CT\|NEW HAVEN, CT\|WOODBRIDGE, CT\|East Haven, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	A•••• C•••••• C••••	May 23, 2022	Apr 22, 2022	-31	Firm change after gap	Ibd to ibd

Relationships

Registered with (2)

→ A•••• C•••••• C••••Registered adviserregistration: current employment
Apr 22, 2022 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Aug 6, 1991 to May 23, 2022factForm ADV

Dated events

Occurred
May 23, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b094f833-2352-9912-3294-4675190cbd04
First observed: Aug 6, 1991
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.