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

D•••• M••••• S•••••••

I•••••••• F•••••••• A•••••••• L••independent RIATolland, CtIA-onlyIAPD 2279707

Feed of 09/14/2026

At current firm

1 y

since Apr 15, 2025

In the industry

31 y

since Dec 2, 1994 (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•••••••• F•••••••• A•••••••• L•• independent RIA current
since Apr 15, 2025 · Tolland, Ct
N•• F••••••• A•••••••• L•• asset manager
Apr 12, 2017 to Nov 14, 2024 · Tolland, Ct
A••••••••• I••• BD affiliated
Jul 31, 2008 to Nov 22, 2016 · Tolland, Ct
G••••••• F•••••••• A•••• M••••••••• I•• unclassified
Apr 20, 2006 to Jul 31, 2008 · Tolland, Ct
T•••• S••••• S••••••••• I••• former
Jun 30, 2005 to Dec 31, 2005 · Springfield, Ma

Moves

a registration end followed by a registration begin elsewhere

N•• F••••••• A•••••••• L•• to I•••••••• F•••••••• A•••••••• L••
left Nov 14, 2024, registered Apr 15, 2025 (152 days) · Other
A••••••••• I••• to N•• F••••••• A•••••••• L••
left Nov 22, 2016, registered Apr 12, 2017 (141 days) · Other
G••••••• F•••••••• A•••• M••••••••• I•• to A••••••••• I•••
left Jul 31, 2008, registered Jul 31, 2008 (0 days) · Other
T•••• S••••• S••••••••• I••• to G••••••• F•••••••• A•••• M••••••••• I••
left Dec 31, 2005, registered Apr 20, 2006 (110 days) · Other

Signals

D•••• M••••• S••••••• left N•• F••••••• A•••••••• L•• for I•••••••• F•••••••• A•••••••• L•• (registered 2025-04-15)
Nov 14, 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: Independent wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address