DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner39 years in industry

C•••• A• T••••••

Advisor at I••••••••• A•••• A••••••• G••••

SHELTON, CT | North Haven, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ebbc8cbc-3ca8-f433-c9e5-1d46bd4de73f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Feb 5, 2002 to Sep 15, 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: I••••••••• A•••• A••••••• G••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 22, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom 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
I••••••••• A•••• A••••••• G••••	Independent wealth	Sep 29, 2025	n/a	yes	SHELTON, CT\|North Haven, CT	Current employment
F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••	Former SEC adviser	Apr 19, 2023	Dec 22, 2025	no	SHELTON, CT\|North Haven, CT\|North Haven, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••	I••••••••• A•••• A••••••• G••••	Dec 22, 2025	Sep 29, 2025	-84	Firm change after gap	RIA to new firm
O•••• W•••••• I•••	F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••	Mar 29, 2023

Team moves

••• Locked

Team	Left	Joined	From	Kind
113526:336773:CT:2025-12-22	Dec 22, 2025	Sep 29, 2025	NORTH HAVEN, CT	Firm change after gap

Relationships

Registered with (5)

→ I••••••••• A•••• A••••••• G••••Registered adviserregistration: current employment
Sep 29, 2025 to presentfactForm ADV
→ F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 19, 2023 to Dec 22, 2025factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jul 31, 2012 to Mar 29, 2023factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••

Dated events

Occurred
Dec 22, 2025
A•••••• firm change
C•••• A• T•••••• left F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I••• for I••••••••• A•••• A••••••• G•••• (registered 2025-09-29)
Form ADVobserved 7 days ago
Occurred
Mar 29, 2023
A•••••• firm change
C•••• A• T•••••• left O•••• W•••••• I••• for F•••••••• S••••••••• I••••••••• A•••••• S•••••••• I••• (registered 2023-04-19)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ebbc8cbc-3ca8-f433-c9e5-1d46bd4de73f
First observed: Feb 5, 2002
Last observed: Sep 15, 2026 7 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.