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

T••••• J••••• L••••

W•••• F•••• A•••••••wirehouseNewtown, Ct dual registrantIAPD 3018921

Feed of 09/14/2026

At current firm

0 y

since Dec 11, 2025

In the industry

28 y

since Apr 27, 1998 (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

W•••• F•••• A••••••• wirehouse current
since Dec 11, 2025 · Purchase, Ny
E••••• J•••• national BD
May 27, 2022 to Dec 10, 2025 · Fairfield, Ct
C•••••• S••••• • C••• I••• national BD
May 13, 2004 to Jun 21, 2022 · Fairfield, Ct
E•••• N••••••• S••••••••• I••• former
May 13, 2003 to Apr 27, 2004 · Fairfield, Ct

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to W•••• F•••• A•••••••
left Dec 10, 2025, registered Dec 11, 2025 (1 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to E••••• J••••
left Jun 21, 2022, registered May 27, 2022 (-25 days) · Affiliated broker-dealer or bank to another
E•••• N••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••
left Apr 27, 2004, registered May 13, 2004 (16 days) · Other

Signals

T••••• J••••• L•••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2025-12-11)
Dec 10, 2025 · Advisor changed firm · fact
T••••• J••••• L•••• left C•••••• S••••• • C••• I••• for E••••• J•••• (registered 2022-05-27)
Jun 21, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address