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

R••••• P•••••• G••••••

O•••• W•••••• I•••BD affiliatedDurham, Ctdual registrantIAPD 3004617

Feed of 09/14/2026

Also filed as R••••• P•••••• G••••••

At current firm

3 y

since Sep 1, 2023

In the industry

28 y

since Feb 25, 1998 (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

O•••• W•••••• I••• BD affiliated current
since Sep 1, 2023 · Durham, Ct
S•••••••• F••••••••• I••• former
Aug 3, 2020 to Sep 1, 2023 · East Hartford, Ct
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 16, 2019 to Aug 18, 2020 · West Hartford, Ct
T• P•••••• C••••• W••••• L•• BD affiliated
Jul 31, 2013 to Jan 9, 2019 · Hartford, Ct
M••••• S•••••• wirehouse
Jun 29, 2010 to Aug 6, 2013 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• F••••••••• I•••
left Aug 18, 2020, registered Aug 3, 2020 (-15 days) · Affiliated broker-dealer or bank to another
T• P•••••• C••••• W••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 9, 2019, registered Oct 16, 2019 (280 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to T• P•••••• C••••• W••••• L••
left Aug 6, 2013, registered Jul 31, 2013 (-6 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address