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

N••• D••••• S•••••••

M••••••• P•••••• W•••••• L••independent RIANewtown, CtIA-onlyIAPD 3093620

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••• S•••••••

At current firm

3 y

since Jul 10, 2023

In the industry

22 y

since Oct 3, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••••• P•••••• W•••••• L•• independent RIA current
since Jul 10, 2023 · Newtown, Ct
B•••••••• F•••••••• S••••••••• unclassified
Jan 3, 2017 to Jan 10, 2024 · Newtown, Ct
S••••• A••••••• I••• BD affiliated
Jan 30, 2015 to Dec 31, 2016 · Birmingham, Al
S••••• A••• I••••••••• A•••••• S•••••••• I••• former
Jan 11, 2012 to Jan 30, 2015 · Newtown, Ct

Moves

a registration end followed by a registration begin elsewhere

B•••••••• F•••••••• S••••••••• to M••••••• P•••••• W•••••• L••
left Jan 10, 2024, registered Jul 10, 2023 (-184 days) · Other
S••••• A••••••• I••• to B•••••••• F•••••••• S•••••••••
left Dec 31, 2016, registered Jan 3, 2017 (3 days) · Other
S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••
left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move

Signals

N••• D••••• S••••••• left B•••••••• F•••••••• S••••••••• for M••••••• P•••••• W•••••• L•• (registered 2023-07-10)
Jan 10, 2024 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address