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

J•• W•••••• P••••

L•• F•••••••• L••BD affiliatedBranford, Ctdual registrantIAPD 2536053

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jun 12, 2024

In the industry

31 y

since Sep 30, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 12, 2024 · Branford, Ct
S••••• A•••• M••••••••• L•• unclassified
Oct 10, 2006 to Aug 24, 2024 · Branford, Ct
S••••• P••••••• G••••• L•• state registered
Apr 7, 2006 to Dec 31, 2024 · Branford, Ct
O•••• F•• I••• former
Jun 14, 2001 to Jun 14, 2024 · Branford, Ct

Moves

a registration end followed by a registration begin elsewhere

S••••• P••••••• G••••• L•• to S••••• A•••• M••••••••• L••
left Dec 31, 2024, registered Oct 10, 2006 (-6657 days) · Other
S••••• A•••• M••••••••• L•• to L•• F•••••••• L••
left Aug 24, 2024, registered Jun 12, 2024 (-73 days) · Other · moved with a team
O•••• F•• I••• to S••••• P••••••• G••••• L••
left Jun 14, 2024, registered Apr 7, 2006 (-6643 days) · Affiliated broker-dealer or bank to a state-registered adviser

Signals

J•• W•••••• P•••• left S••••• P••••••• G••••• L•• for S••••• A•••• M••••••••• L•• (registered 2006-10-10)
Dec 31, 2024 · Advisor changed firm · fact
J•• W•••••• P•••• left S••••• A•••• M••••••••• L•• for L•• F•••••••• L•• (registered 2024-06-12)
Aug 24, 2024 · Advisor changed firm · fact
J•• W•••••• P•••• left O•••• F•• I••• for S••••• P••••••• G••••• L•• (registered 2006-04-07)
Jun 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: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address