DFX Intelligence
RIA Intelligence
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Registered advisor
P•••••• A••• T••••••
Feed of 09/14/2026
Also filed as P•••••• T••••••
At current firm
21 y
since Jan 7, 2005
In the industry
29 y
since Jan 3, 1997 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F••••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 7, 2005 · Hartford, Ct
- T•••••• G••••• L•• unclassifiedDec 15, 1998 to Aug 25, 2004 · Windsor, Ct
Moves
a registration end followed by a registration begin elsewhere
- T•••••• G••••• L•• to F••••••• C•••••• M••••••••• L••left Aug 25, 2004, registered Jan 7, 2005 (135 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address