DFX Intelligence
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Registered advisor
T••••• L• G•••••
Feed of 09/15/2026
Also filed as T••••• Ruth Lyman
At current firm
9 y
since Apr 6, 2017
In the industry
29 y
since Nov 25, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Apr 6, 2017 · Cheshire, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Apr 5, 2017 · Manchester, Ct
- L•• F•••••••• L•• BD affiliatedMay 31, 2011 to Sep 21, 2016 · New Haven, Ct
- C••••••••• I••••••••• M••••••••• unclassifiedJun 6, 2007 to Dec 11, 2009 · Hartford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jun 6, 2007 · Meriden, Ct
- Q•••• • R•••••• I••• unclassifiedNov 26, 2002 to Oct 20, 2004 · Mansfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 22, 2000 to Aug 15, 2002 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to O•••• I••••••••• I•••left Apr 5, 2017, registered Apr 6, 2017 (1 days) · Other
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- C••••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Dec 11, 2009, registered May 31, 2011 (536 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••••• I••••••••• M•••••••••left Jun 6, 2007, registered Jun 6, 2007 (0 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•••• • R•••••• I•••left Aug 15, 2002, registered Nov 26, 2002 (103 days) · Other
Signals
No dated event on this person.
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address