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

M•••••• W•••••••

A•••• C•••••• C••••BD affiliatedEaston, Ct dual registrantIAPD 2445102

Feed of 09/14/2026

At current firm

0 y

since Oct 2, 2025

In the industry

32 y

since Apr 4, 1994 (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

A•••• C•••••• C•••• BD affiliated current
since Oct 2, 2025 · Melville, Ny
E•••••••• A•••••••• L•• national BD
Jan 10, 2022 to Sep 18, 2025 · Easton, Ct
A•••• C•••••• C•••• BD affiliated
Oct 16, 2017 to Feb 1, 2022 · Westport, Ct
R•• C•••••• M••••••• L•• national BD
Jul 14, 2011 to Oct 24, 2017 · Westport, Ct
O••••••••• • C•• I••• BD affiliated
Aug 15, 2007 to Jul 15, 2011 · Stamford, Ct
A••••••••• A•••••• S•••••••• I••• unclassified
Aug 26, 2003 to Aug 15, 2007 · Greenwich, Ct
U•• F•••••••• S••••••• I••• wirehouse
Jan 11, 2000 to Dec 2, 2002 · Greenwich, Ct

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A•••••••• L•• to A•••• C•••••• C••••
left Sep 18, 2025, registered Oct 2, 2025 (14 days) · Affiliated broker-dealer or bank to another
A•••• C•••••• C•••• to E•••••••• A•••••••• L••
left Feb 1, 2022, registered Jan 10, 2022 (-22 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to A•••• C•••••• C••••
left Oct 24, 2017, registered Oct 16, 2017 (-8 days) · Other
O••••••••• • C•• I••• to R•• C•••••• M••••••• L••
left Jul 15, 2011, registered Jul 14, 2011 (-1 days) · Other
A••••••••• A•••••• S•••••••• I••• to O••••••••• • C•• I•••
left Aug 15, 2007, registered Aug 15, 2007 (0 days) · Other
U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Dec 2, 2002, registered Aug 26, 2003 (267 days) · Other

Signals

M•••••• W••••••• left E•••••••• A•••••••• L•• for A•••• C•••••• C•••• (registered 2025-10-02)
Sep 18, 2025 · a•••••• firm change · fact
M•••••• W••••••• left A•••• C•••••• C•••• for E•••••••• A•••••••• L•• (registered 2022-01-10)
Feb 1, 2022 · a•••••• firm change · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address