DFX Intelligence

S••••• E••• G••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)28 years in industry

S••••• E••• G••••

Advisor at M•• W••••• A•••••••

FARMINGTON, CT

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Search this name across graphsid dfx:ria:c627490b-88cc-083d-2f77-380e6ad0a4c7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 20, 2003 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: M•• W••••• A•••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Feb 16, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•• W••••• A•••••••	Independent wealth	May 14, 2008	n/a	yes	FARMINGTON, CT	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Aug 20, 2003	Oct 16, 2003	no	NY, NY\|NEW YORK, NY\|FARMINGTON, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	M•• W••••• A•••••••	Oct 16, 2003	May 14, 2008	1,672	Firm change after gap	Other

Relationships

Registered with (2)

→ M•• W••••• A•••••••Registered adviserregistration: current employment
May 14, 2008 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Aug 20, 2003 to Oct 16, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c627490b-88cc-083d-2f77-380e6ad0a4c7
First observed: Aug 20, 2003
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.