DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R•••••• P••• C•••••

Advisor at C•••••••• I••••••••• R••••••• A•••••••• I•••

Bristol, CT

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Search this name across graphsid dfx:ria:f668287c-fc98-f0cb-79de-88cabbb753ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 27, 1994 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: C•••••••• I••••••••• R••••••• A•••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 1, 1987earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• I••••••••• R••••••• A•••••••• I•••	Bd affiliated wealth	Nov 9, 2018	n/a	yes	Bristol, CT	Current employment
O•••••••• • L••••••• I•••	Former SEC adviser	May 27, 1994	Dec 14, 2018	no	BRISTOL, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••••••• • L••••••• I•••	C•••••••• I••••••••• R••••••• A•••••••• I•••	Dec 14, 2018	Nov 9, 2018	-35	Firm change after gap	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
23757:134139:CT:2018-12-14	Dec 14, 2018	Nov 9, 2018	BRISTOL, CT	Firm change after gap

Relationships

Registered with (2)

→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 9, 2018 to presentfactForm ADV
→ O•••••••• • L••••••• I•••Registered adviserregistration: previous registration
May 27, 1994 to Dec 14, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f668287c-fc98-f0cb-79de-88cabbb753ed
First observed: May 27, 1994
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.