A•••••• P•••••

Advisor at S•••• W••• M•••• M••••••••• L••

SHELTON, 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:ff3a81df-81a1-a070-c1f6-df0582a1681c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Feb 3, 2023 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: S•••• W••• M•••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Apr 14, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••• W••• M•••• M••••••••• L••	State registered	Nov 12, 2024	n/a	yes	SHELTON, CT	Current employment
A•••• W••••• M••••••••• I•••	Independent wealth	Jan 31, 2024	Nov 1, 2024	no	GUTHRIE CENTER, IA\|Shelton, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A•••• W••••• M••••••••• I•••	S•••• W••• M•••• M••••••••• L••	Nov 1, 2024	Nov 12, 2024	11	Firm change	RIA to state RIA
W•••• F•••• A•••••••	A•••• W••••• M••••••••• I•••	Nov 21, 2023	Jan 31, 2024

Relationships

Registered with (3)

→ S•••• W••• M•••• M••••••••• L••Registered adviserregistration: current employment
Nov 12, 2024 to presentfactForm ADV
→ A•••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
Jan 31, 2024 to Nov 1, 2024factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 3, 2023 to Nov 21, 2023factForm ADV

Dated events

Occurred
Nov 1, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 21, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff3a81df-81a1-a070-c1f6-df0582a1681c
First observed: Feb 3, 2023
Last observed: Sep 14, 2026 8 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.