DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

C•••• P••• T•••••••

Advisor at R•••••• J•••• • A••••••••• I•••

New London, CT

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Search this name across graphsid dfx:ria:b34cbbd3-8af7-1f26-1d3a-1167619ce72c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 14, 2005 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•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 20, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 30, 2025	n/a	yes	New London, CT	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Sep 11, 2013	May 23, 2025	no	NEW LONDON, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	R•••••• J•••• • A••••••••• I•••	May 23, 2025	Apr 30, 2025	-23	Firm change	Wirehouse to ibd
M••••• S••••••	U•• F•••••••• S••••••• I•••	Sep 16, 2013	Sep 11, 2013

Team moves

••• Locked

Team	Left	Joined	From	Kind
8174:705:CT:2025-05-23	May 23, 2025	Apr 30, 2025	NEW LONDON, CT	Firm change

Relationships

Registered with (5)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Apr 30, 2025 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Sep 11, 2013 to May 23, 2025factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Sep 16, 2013factForm ADV
→ M••••• S•••••• • C•• L••Registered adviser

Dated events

Occurred
May 23, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b34cbbd3-8af7-1f26-1d3a-1167619ce72c
First observed: Mar 14, 2005
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.