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

C•••••• M••••• F••••••

G•••••• W••••• P•••••••• L••independent RIAAppleton, Wi dual registrantIAPD 2614186

Feed of 09/15/2026

Also filed as Chuck F••••••

At current firm

2 y

since Mar 19, 2024

In the industry

30 y

since Nov 20, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••• W••••• P•••••••• L•• independent RIA current
since Mar 19, 2024 · Appleton, Wi
C•••••••• C•••••• W••••• M••••••••• L•• independent RIA
Mar 8, 2016 to Apr 10, 2024 · Westbrook, Ct
J• W• C••• A•••••••• I••• BD affiliated
Mar 2, 2016 to Mar 8, 2016 · Westbrook, Ct
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Nov 15, 2013 to Mar 3, 2016 · Glastonbury, Ct
W•••••• • R••• former
Jan 2, 2013 to Nov 20, 2013 · Westbrook, Ct
C••••••• S••••••••• I••• BD affiliated
May 3, 2007 to Jan 8, 2013 · New London, Ct
C••• B•••••••• S•••••••• I••• former
Apr 23, 2001 to May 3, 2007 · Westerly, Ri

Moves

a registration end followed by a registration begin elsewhere

C•••••••• C•••••• W••••• M••••••••• L•• to G•••••• W••••• P•••••••• L••
left Apr 10, 2024, registered Mar 19, 2024 (-22 days) · RIA to RIA
J• W• C••• A•••••••• I••• to C•••••••• C•••••• W••••• M••••••••• L••
left Mar 8, 2016, registered Mar 8, 2016 (0 days) · Other · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to J• W• C••• A•••••••• I•••
left Mar 3, 2016, registered Mar 2, 2016 (-1 days) · Other · moved with a team
W•••••• • R••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Nov 20, 2013, registered Nov 15, 2013 (-5 days) · Other
C••••••• S••••••••• I••• to W•••••• • R•••
left Jan 8, 2013, registered Jan 2, 2013 (-6 days) · Other
C••• B•••••••• S•••••••• I••• to C••••••• S••••••••• I•••
left May 3, 2007, registered May 3, 2007 (0 days) · Other

Signals

C•••••• M••••• F•••••• left C•••••••• C•••••• W••••• M••••••••• L•• for G•••••• W••••• P•••••••• L•• (registered 2024-03-19)
Apr 10, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address