DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M••• L••••• M••••

E••••• J••••national BDClinton, Ctdual registrantIAPD 1054752

Feed of 09/14/2026

Also filed as M••• M••••

At current firm

2 y

since Mar 18, 2024

In the industry

29 y

since Mar 17, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Mar 18, 2024 · Clinton, Ct
P•••• S••••••••• L•• no RAUM
Aug 29, 2023 to Mar 20, 2024 · Glastonbury, Ct
F••••••••• I••••••••• A••••••• L•• independent RIA
Jul 18, 2022 to Aug 4, 2023 · North Haven, Ct
B••••••••• C•••••• M••••••••• L•• independent RIA
May 13, 2020 to Jul 18, 2022 · Wheaton, Il
U•• F•••••••• S••••••• I••• wirehouse
Sep 30, 2011 to May 29, 2020 · New Haven, Ct
J••••• M••••••••• S•••• L•• BD affiliated
Jul 5, 2006 to Oct 4, 2011 · New Haven, Ct
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Jul 5, 2006 · New Haven, Ct
P••••••••• E••••• G••••• L•• unclassified
Jun 14, 2001 to Jul 1, 2003 · New Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to E••••• J••••
left Mar 20, 2024, registered Mar 18, 2024 (-2 days) · Affiliated broker-dealer or bank to another
F••••••••• I••••••••• A••••••• L•• to P•••• S••••••••• L••
left Aug 4, 2023, registered Aug 29, 2023 (25 days) · RIA to affiliated broker-dealer or bank
B••••••••• C•••••• M••••••••• L•• to F••••••••• I••••••••• A••••••• L••
left Jul 18, 2022, registered Jul 18, 2022 (0 days) · RIA to RIA
U•• F•••••••• S••••••• I••• to B••••••••• C•••••• M••••••••• L••
left May 29, 2020, registered May 13, 2020 (-16 days) · Wirehouse to independent RIA
J••••• M••••••••• S•••• L•• to U•• F•••••••• S••••••• I•••
left Oct 4, 2011, registered Sep 30, 2011 (-4 days) · Other
W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••
left Jul 5, 2006, registered Jul 5, 2006 (0 days) · Other
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

M••• L••••• M•••• left P•••• S••••••••• L•• for E••••• J•••• (registered 2024-03-18)
Mar 20, 2024 · Advisor changed firm · fact
M••• L••••• M•••• left F••••••••• I••••••••• A••••••• L•• for P•••• S••••••••• L•• (registered 2023-08-29)
Aug 4, 2023 · Advisor changed firm · fact
M••• L••••• M•••• left B••••••••• C•••••• M••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2022-07-18)
Jul 18, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address