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

P••••• T•••••• W••••••

L•• F•••••••• L••BD affiliatedClinton, Ct dual registrantIAPD 2819327

Feed of 09/15/2026

Also filed as Phil W••••••

At current firm

2 y

since Jul 30, 2024

In the industry

29 y

since Dec 2, 1996 (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 Jul 30, 2024 · Bonita Springs, Fl
C••••• • A••••••••• I••• independent RIA
Apr 22, 2019 to Jul 30, 2024 · Tampa, Fl
C•••••• F•••••••• S•••••••• I••• former
Aug 15, 2016 to Apr 22, 2019 · Clinton, Ct
I•••••••• C•••••• A••••••• former
Jun 16, 2005 to Aug 15, 2016 · Lynnfield, Ma
E•••••• P•••• A••••••• I••• unclassified
May 21, 2002 to Jun 16, 2005 · Fort Myers, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••• • A••••••••• I••• to L•• F•••••••• L••
left Jul 30, 2024, registered Jul 30, 2024 (0 days) · RIA to affiliated broker-dealer or bank
C•••••• F•••••••• S•••••••• I••• to C••••• • A••••••••• I•••
left Apr 22, 2019, registered Apr 22, 2019 (0 days) · RIA to RIA
I•••••••• C•••••• A••••••• to C•••••• F•••••••• S•••••••• I•••
left Aug 15, 2016, registered Aug 15, 2016 (0 days) · Other
E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••
left Jun 16, 2005, registered Jun 16, 2005 (0 days) · Other

Signals

P••••• T•••••• W•••••• left C••••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2024-07-30)
Jul 30, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address