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••• T••••• F••••••••

T• P•••••• C••••• W••••• L••BD affiliatedManchester, Nh dual registrantIAPD 2187493

Feed of 09/15/2026

Also filed as G••• T F••••••••

At current firm

1 y

since Dec 19, 2024

In the industry

22 y

since Oct 24, 2003 (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

T• P•••••• C••••• W••••• L•• BD affiliated current
since Dec 19, 2024 · Manchester, Nh
F••••• I••••••••• independent RIA
Apr 12, 2024 to Dec 12, 2024 · West Hartford, Ct
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Apr 12, 2024 · West Hartford, Ct
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 8, 2013 to Sep 7, 2023 · West Hartford, Ct
T• A••••••••• I••• former
Jan 8, 2013 to Oct 14, 2022 · West Hartford, Ct
V••• F•••••••• A•••••••• I••• BD affiliated
Aug 22, 2011 to Jan 4, 2013 · Windsor, Ct
G••••• P•••••••• S••••••••• I••• former
Mar 13, 2007 to Jul 26, 2011 · Hartford, Ct
C••••• I••••••••• S••••••• L•• former
Jun 1, 2006 to Feb 27, 2007 · West Hartford, Ct
N••••••••• I••••••••• I••• unclassified
Jan 19, 2005 to May 16, 2006 · New Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to T• P•••••• C••••• W••••• L••
left Dec 12, 2024, registered Dec 19, 2024 (7 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to F••••• I•••••••••
left Apr 12, 2024, registered Apr 12, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jan 8, 2013 (-3566 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to T• A••••••••• I•••
left Jan 4, 2013, registered Jan 8, 2013 (4 days) · Other
G••••• P•••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••
left Jul 26, 2011, registered Aug 22, 2011 (27 days) · Other
C••••• I••••••••• S••••••• L•• to G••••• P•••••••• S••••••••• I•••
left Feb 27, 2007, registered Mar 13, 2007 (14 days) · Other
N••••••••• I••••••••• I••• to C••••• I••••••••• S••••••• L••
left May 16, 2006, registered Jun 1, 2006 (16 days) · Other

Signals

G••• T••••• F•••••••• left F••••• I••••••••• for T• P•••••• C••••• W••••• L•• (registered 2024-12-19)
Dec 12, 2024 · Advisor changed firm · fact
G••• T••••• F•••••••• left C•••••• S••••• • C••• I••• for F••••• I••••••••• (registered 2024-04-12)
Apr 12, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address