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

P••••• M•••••• N•••••••••

M•• I•••••••• S•••••••• L••BD affiliatedWaterbury, Ct dual registrantIAPD 4269360

Certified Financial Planner

Feed of 09/14/2026

Also filed as P••••• M•••••• N•••••••••

At current firm

0 y

since Dec 17, 2025

In the industry

25 y

since Oct 19, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• I•••••••• S•••••••• L•• BD affiliated current
since Dec 17, 2025 · Glastonbury, Ct
L•• F•••••••• L•• BD affiliated
Jul 18, 2023 to Dec 16, 2025 · Waterbury, Ct
K•• I••••••••• S••••••• L•• BD affiliated
Jan 7, 2019 to Jul 5, 2023 · Manchester, Ct
E••••• J•••• national BD
Oct 5, 2018 to Nov 28, 2018 · Waterbury, Ct
3• A•••• M••••••••• I••• former
Feb 4, 2014 to Nov 4, 2014 · Hartford, Ct
S•••••••• S••••••••• BD affiliated
Mar 28, 2013 to Jan 6, 2014 · Wolcott, Ct
A•• I••••••••• S•••••••• I••• asset manager
Mar 20, 2006 to Nov 18, 2011 · Shelton, Ct
Q•••• • R•••••• I••• unclassified
May 7, 2004 to Aug 13, 2004 · Old Lyme, Ct

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••
left Dec 16, 2025, registered Dec 17, 2025 (1 days) · Affiliated broker-dealer or bank to another
K•• I••••••••• S••••••• L•• to L•• F•••••••• L••
left Jul 5, 2023, registered Jul 18, 2023 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
E••••• J•••• to K•• I••••••••• S••••••• L••
left Nov 28, 2018, registered Jan 7, 2019 (40 days) · Affiliated broker-dealer or bank to another
3• A•••• M••••••••• I••• to E••••• J••••
left Nov 4, 2014, registered Oct 5, 2018 (1431 days) · Other
S•••••••• S••••••••• to 3• A•••• M••••••••• I•••
left Jan 6, 2014, registered Feb 4, 2014 (29 days) · Other
A•• I••••••••• S•••••••• I••• to S•••••••• S•••••••••
left Nov 18, 2011, registered Mar 28, 2013 (496 days) · Other
Q•••• • R•••••• I••• to A•• I••••••••• S•••••••• I•••
left Aug 13, 2004, registered Mar 20, 2006 (584 days) · Other

Signals

P••••• M•••••• N••••••••• left L•• F•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-12-17)
Dec 16, 2025 · Advisor changed firm · fact
P••••• M•••••• N••••••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2023-07-18)
Jul 5, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address