DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

C•••••••• C• F••••••••

Advisor at G•••••• S•••• W••••• S•••••••• L•••

NORWALK, 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, 9:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Oct 20, 2008 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: G•••••• S•••• W••••• S•••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 18, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••••• S•••• W••••• S•••••••• L•••	Bd affiliated wealth	Nov 2, 2023	n/a	yes	NORWALK, CT	Current employment
U••••• C•••••• F•••••••• A•••••••	Independent wealth	Oct 19, 2021	Nov 2, 2023	no	Westport, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••••• C•••••• F•••••••• A•••••••	G•••••• S•••• W••••• S•••••••• L•••	Nov 2, 2023	Nov 2, 2023	0	Firm change	Ibd to ibd
D••••••• B••• S••••••••• I•••	U••••• C•••••• F•••••••• A•••••••	Feb 6, 2013	Oct 19, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
134600:106693:CT:2023-11-02	Nov 2, 2023	Nov 2, 2023	WESTPORT, CT	Firm change

Relationships

Registered with (3)

→ G•••••• S•••• W••••• S•••••••• L•••Registered adviserregistration: current employment
Nov 2, 2023 to presentfactForm ADV
→ U••••• C•••••• F•••••••• A•••••••Registered adviserregistration: previous registration
Oct 19, 2021 to Nov 2, 2023factForm ADV
→ D••••••• B••• S••••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2008 to Feb 6, 2013factForm ADV

Dated events

Order

Occurred
2 Nov 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 20, 2008
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.