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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

D•••• A••••• C••••••

Advisor at C•••••• I••••••••• P•••••••• I•••

HARTFORD, CT | Higganum, CT

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Search this name across graphsid dfx:ria:fc61ed51-fbb7-1f57-ab88-8ceefab19984

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 11, 2006 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: C•••••• I••••••••• P•••••••• I•••
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 10, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• I••••••••• P•••••••• I•••	Institutional manager	Jul 18, 2023	n/a	yes	HARTFORD, CT\|Higganum, CT	Current employment
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jan 2, 2009	Aug 9, 2023	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	C•••••• I••••••••• P•••••••• I•••	Aug 9, 2023	Jul 18, 2023	-22	Firm change	Other
R•••••• J•••• F•••••••• S•••••••• I•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Jan 2, 2009

Relationships

Registered with (4)

→ C•••••• I••••••••• P•••••••• I•••Registered adviserregistration: current employment
Jul 18, 2023 to presentfactForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jan 2, 2009 to Aug 9, 2023factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 30, 2007 to Jan 2, 2009factForm ADV
→ A••••••••• F•••••••• S•••••••• L••

Dated events

Occurred
Aug 9, 2023
Advisor changed firm
D•••• A••••• C•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C•••••• I••••••••• P•••••••• I••• (registered 2023-07-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc61ed51-fbb7-1f57-ab88-8ceefab19984
First observed: Aug 11, 2006
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.