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•••• W••••••••• P••••

L•• F•••••••• L••BD affiliatedOld Saybrook, Ctdual registrantIAPD 3241085

Feed of 09/14/2026

Also filed as T•••• W P••••

At current firm

5 y

since May 7, 2021

In the industry

26 y

since May 31, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 7, 2021 · Old Saybrook, Ct
C••••••••• W••••• M••••••••• L•• independent RIA
Sep 1, 2020 to May 5, 2021 · Farmington, Ct
N•••••••• W••••• P••••••• L•• former
Jun 9, 2014 to Aug 31, 2020 · West Hartford, Ct
L•• F•••••••• L•• BD affiliated
Jul 10, 2013 to Sep 7, 2016 · Old Saybrook, Ct
E•••• F•••••••• S•••••••• I••• independent RIA
Jun 15, 2004 to Aug 5, 2013 · E••••, Ct
S•••••••• A••••••• L•• national BD
Apr 4, 2001 to Jul 1, 2004 · West Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••••• W••••• M••••••••• L•• to L•• F•••••••• L••
left May 5, 2021, registered May 7, 2021 (2 days) · RIA to affiliated broker-dealer or bank
N•••••••• W••••• P••••••• L•• to C••••••••• W••••• M••••••••• L••
left Aug 31, 2020, registered Sep 1, 2020 (1 days) · RIA to RIA
L•• F•••••••• L•• to N•••••••• W••••• P••••••• L••
left Sep 7, 2016, registered Jun 9, 2014 (-821 days) · Other · moved with a team
E•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left Aug 5, 2013, registered Jul 10, 2013 (-26 days) · Other
S•••••••• A••••••• L•• to E•••• F•••••••• S•••••••• I•••
left Jul 1, 2004, registered Jun 15, 2004 (-16 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address