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••• A•••• R••••••

W•••• F•••• A•••••••wirehouseFairfield, Ctdual registrantIAPD 2772761

Feed of 09/14/2026

Also filed as M••• A R••••••

At current firm

3 y

since Dec 13, 2022

In the industry

29 y

since Apr 11, 1997 (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

W•••• F•••• A••••••• wirehouse current
since Dec 13, 2022 · Fairfield, Ct
M••••• S•••••• wirehouse
Sep 16, 2022 to Dec 20, 2022 · Fairfield, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 4, 2021 to Aug 29, 2022 · Fairfield, Ct
R•• C•••••• M••••••• L•• national BD
Aug 29, 2018 to Jan 26, 2021 · Stamford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 27, 2011 to Aug 30, 2018 · Greenwich, Ct
W•••• F•••• A••••••• wirehouse
Nov 14, 2007 to Apr 21, 2011 · Fairfield, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 27, 2003 to Nov 19, 2007 · Stamford , Ct

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to W•••• F•••• A•••••••
left Dec 20, 2022, registered Dec 13, 2022 (-7 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Aug 29, 2022, registered Sep 16, 2022 (18 days) · Wirehouse to wirehouse
R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 26, 2021, registered Feb 4, 2021 (9 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Aug 30, 2018, registered Aug 29, 2018 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 21, 2011, registered Apr 27, 2011 (6 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Nov 19, 2007, registered Nov 14, 2007 (-5 days) · Wirehouse to wirehouse

Signals

M••• A•••• R•••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2022-12-13)
Dec 20, 2022 · Advisor changed firm · fact
M••• A•••• R•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2022-09-16)
Aug 29, 2022 · 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address