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

A•••••• A•••••• F•••••••

I•••••••• A•••••••• L••BD affiliatedFarmington, Ct dual registrantIAPD 1410327

Feed of 09/15/2026

Also filed as Al F•••••••

At current firm

3 y

since Sep 27, 2022

In the industry

25 y

since Dec 18, 2000 (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

I•••••••• A•••••••• L•• BD affiliated current
since Sep 27, 2022 · Urbandale, Ia
C•••••• A••••••• BD affiliated
Mar 10, 2015 to Sep 27, 2022 · Farmington, Ct
L•••••• I••••••••• independent RIA
Aug 2, 2010 to Sep 27, 2022 · Cincinnati, Oh
G•••• A••••••• A•••••••• I••• former
Oct 23, 2008 to Aug 2, 2010 · Cincinnati, Oh
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jan 10, 2005 to Sep 4, 2008 · Chicago, Il
A•• B••••••••• I••• unclassified
Oct 28, 2004 to Jan 5, 2005 · West Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to I•••••••• A•••••••• L••
left Sep 27, 2022, registered Sep 27, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
L•••••• I••••••••• to C•••••• A•••••••
left Sep 27, 2022, registered Mar 10, 2015 (-2758 days) · Other · moved with a team
G•••• A••••••• A•••••••• I••• to L•••••• I•••••••••
left Aug 2, 2010, registered Aug 2, 2010 (0 days) · corporate re-registration, not a move
U•••• F•••••••• S••••••• G••••• I••• to G•••• A••••••• A•••••••• I•••
left Sep 4, 2008, registered Oct 23, 2008 (49 days) · Other
A•• B••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Jan 5, 2005, registered Jan 10, 2005 (5 days) · Other

Signals

A•••••• A•••••• F••••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2015-03-10)
Sep 27, 2022 · Advisor changed firm · fact
A•••••• A•••••• F••••••• left C•••••• A••••••• for I•••••••• A•••••••• L•• (registered 2022-09-27)
Sep 27, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address