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

G••••• P•••••• M•••••••

M•• I•••••••• S•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 1279375

Certified Financial Planner

Feed of 09/15/2026

Also filed as G••••• P•••••• M•••••••

At current firm

2 y

since May 31, 2024

In the industry

41 y

since Dec 17, 1984 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since May 31, 2024 · Stamford, Ct
T•• W••••••• G••••• I••• former
Jul 15, 2022 to Jun 27, 2024 · Somers, Ny
L•• F•••••••• L•• BD affiliated
May 31, 2011 to Oct 10, 2012 · Stamford, Ct
P••••••• S••••••••• I••• former
Sep 12, 2007 to Nov 5, 2010 · Stamford, Ct
H••• S••••••••• •••• I••• BD affiliated
Nov 8, 2006 to Jul 23, 2007 · Brooklyn, Ny
C•••• I••••••••• S••••••• C•••• former
Jun 29, 1998 to Jul 18, 2006 · Brooklyn, Ny

Moves

a registration end followed by a registration begin elsewhere

T•• W••••••• G••••• I••• to M•• I•••••••• S•••••••• L••
left Jun 27, 2024, registered May 31, 2024 (-27 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to T•• W••••••• G••••• I•••
left Oct 10, 2012, registered Jul 15, 2022 (3565 days) · Other
P••••••• S••••••••• I••• to L•• F•••••••• L••
left Nov 5, 2010, registered May 31, 2011 (207 days) · Other
H••• S••••••••• •••• I••• to P••••••• S••••••••• I•••
left Jul 23, 2007, registered Sep 12, 2007 (51 days) · Other
C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••
left Jul 18, 2006, registered Nov 8, 2006 (113 days) · Other

Signals

G••••• P•••••• M••••••• left T•• W••••••• G••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-05-31)
Jun 27, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address