DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

S••••• L•••••• T•••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

HARTFORD, 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, 2:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jan 2, 2018 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•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Dec 1, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Aug 13, 2026	n/a	yes	HARTFORD, CT	Current employment
V••• F•••••••• P•••••••• L••	Former SEC adviser	Feb 21, 2023	Jul 12, 2023	no	Irvine, CA\|Boston, MA\|New Britain, CT\|WINDSOR, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••• R••••••••• A•••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Jul 31, 2026	Aug 13, 2026	13	Firm change	Other
V••• F•••••••• P•••••••• L••	V••• R••••••••• A•••••••• L••	Jul 12, 2023	Feb 21, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
34815:3989:CT:2023-07-12	Jul 12, 2023	Feb 21, 2023	WINDSOR, CT	Channel change

Relationships

Registered with (5)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
Aug 13, 2026 to presentfactForm ADV
→ V••• R••••••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 21, 2023 to Jul 31, 2026factForm ADV
→ V••• F•••••••• P•••••••• L••Registered adviserregistration: previous registration
Feb 21, 2023 to Jul 12, 2023factForm ADV
→ V••• F•••••••• A•••••••• I•••

Dated events

Order

Occurred
31 Jul 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Feb 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 2, 2018
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.