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

R•••••• H• B•••••

C••••• I••••••••• A••••••• L••BD affiliatedNew Haven, Ctdual registrantIAPD 1501542

Feed of 09/14/2026

Also filed as Ray B•••••

At current firm

3 y

since Jun 29, 2023

In the industry

40 y

since Sep 18, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · New Haven, Ct
P••• A••••• S••••••••• L•• BD affiliated
Nov 19, 2014 to Feb 16, 2023 · New Haven, Ct
W•••• F•••• A••••••• wirehouse
Jul 31, 2012 to Oct 1, 2014 · Essex, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 14, 2010 to Jul 13, 2012 · Hartford, Ct
C•••••• A••••••• L•• asset manager
May 30, 2000 to Aug 4, 2003 · Naperville, Il

Moves

a registration end followed by a registration begin elsewhere

P••• A••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Feb 16, 2023, registered Jun 29, 2023 (133 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to P••• A••••• S••••••••• L••
left Oct 1, 2014, registered Nov 19, 2014 (49 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Jul 13, 2012, registered Jul 31, 2012 (18 days) · Wirehouse to wirehouse
C•••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 4, 2003, registered Dec 14, 2010 (2689 days) · Other

Signals

R•••••• H• B••••• left P••• A••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Feb 16, 2023 · 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address