DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner20 years in industry

N••••••• R•••••• R••

Advisor at S••••• F•••••••• G••••• L••

GLASTONBURY, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 17, 2006 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•••••••• G••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••• F•••••••• G••••• L••	Independent wealth	Apr 24, 2015	n/a	yes	GLASTONBURY, CT	Current employment
N••• F•••••••• G••••• I•••	Former SEC adviser	Jan 28, 2009	Apr 14, 2015	no	GLASTONBURY, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• F•••••••• G••••• I•••	S••••• F•••••••• G••••• L••	Apr 14, 2015	Apr 24, 2015	10	Firm change	Other
A••••••••• F•••••••• S•••••••• L••	N••• F•••••••• G••••• I•••	Jan 29, 2009	Jan 28, 2009

Relationships

Registered with (3)

→ S••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Apr 24, 2015 to presentfactForm ADV
→ N••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Jan 28, 2009 to Apr 14, 2015factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 17, 2006 to Jan 29, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 17, 2006
Last observed: Sep 14, 2026 10 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.