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

C••••••••• J•••••••• A•••• P•••••

G•••••••• W••••• M••••••••• L••independent RIAG••••••••, CtIA-onlyIAPD 1209207

Feed of 09/14/2026

Also filed as C J•••••••• A. P•••••

At current firm

1 y

since Oct 9, 2024

In the industry

30 y

since Oct 31, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••••• W••••• M••••••••• L•• independent RIA current
since Oct 9, 2024 · G••••••••, Ct
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 5, 2022 to Oct 3, 2024 · Riverside, Ct
U•• F•••••••• S••••••• I••• wirehouse
Jul 23, 2010 to Jun 1, 2022 · G••••••••, Ct
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 16, 2010 · Stamford, Ct
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 18, 2003 to Jun 1, 2009 · Stamford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 26, 1995 to Feb 25, 2003 · G••••••••, Ct

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to G•••••••• W••••• M••••••••• L••
left Oct 3, 2024, registered Oct 9, 2024 (6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 1, 2022, registered May 5, 2022 (-27 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Aug 16, 2010, registered Jul 23, 2010 (-24 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Feb 25, 2003, registered Feb 18, 2003 (-7 days) · Other

Signals

C••••••••• J•••••••• A•••• P••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for G•••••••• W••••• M••••••••• L•• (registered 2024-10-09)
Oct 3, 2024 · Advisor changed firm · fact
C••••••••• J•••••••• A•••• P••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-05-05)
Jun 1, 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address