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

S••• C••••••••• A••••

R•••••• J•••• • A••••••••• I•••national BDNew London, Ctdual registrantIAPD 3138057

Feed of 09/14/2026

Also filed as S••• C A••••

At current firm

1 y

since May 1, 2025

In the industry

27 y

since Jul 15, 1999 (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

R•••••• J•••• • A••••••••• I••• national BD current
since May 1, 2025 · New London, Ct
U•• F•••••••• S••••••• I••• wirehouse
Sep 11, 2013 to May 23, 2025 · New London, Ct
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 16, 2013 · Madison, Ct
M••••• S•••••• • C•• L•• unclassified
Jul 14, 2008 to Jun 1, 2009 · Madison, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 13, 1999 to Jul 14, 2008 · New London, Ct

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left May 23, 2025, registered May 1, 2025 (-22 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Sep 16, 2013, registered Sep 11, 2013 (-5 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
left Jul 14, 2008, registered Jul 14, 2008 (0 days) · Other

Signals

S••• C••••••••• A•••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-05-01)
May 23, 2025 · 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address