DFX Intelligence

L••• S• V•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

L••• S• V•••••••

Advisor at A••••••• F•••••••• S••••••••• L••

SHELTON, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 24, 2014 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••••••• F•••••••• S••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Nov 1, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F•••••••• S••••••••• L••	State registered	Oct 15, 2014	n/a	yes	SHELTON, CT	Current employment
A••••••• I••••••••• S••••••••• L•••	n/a	Apr 24, 2014	Nov 14, 2014	no	TRUMBULL, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••• I••••••••• S••••••••• L•••	A••••••• F•••••••• S••••••••• L••	Nov 14, 2014	Oct 15, 2014	-30	Firm change	Other

Relationships

Registered with (2)

→ A••••••• F•••••••• S••••••••• L••Registered adviserregistration: current employment
Oct 15, 2014 to presentfactForm ADV
→ A••••••• I••••••••• S••••••••• L•••Registered adviserregistration: previous registration
Apr 24, 2014 to Nov 14, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 24, 2014
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.