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

M•••••• J• L••••••••

S•••• W••• M•••• M••••••••• L••state registeredShelton, CtIA-onlyIAPD 4411210

Feed of 09/14/2026

At current firm

2 y

since Jun 17, 2024

In the industry

25 y

since Jul 30, 2001 (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

S•••• W••• M•••• M••••••••• L•• state registered current
since Jun 17, 2024 · Shelton, Ct
A•••• W••••• M••••••••• I••• independent RIA
Jan 16, 2024 to Mar 22, 2024 · Shelton, Ct
F••••••••• I••••••••• A••••••• L•• independent RIA
Aug 20, 2021 to Feb 27, 2024 · Shelton, Ct
M•• W••••• M••••••••• L•• unclassified
Jan 24, 2018 to Mar 1, 2021 · Shelton, Ct
H••••• I••••••••• M••••••••• L•• independent RIA
May 30, 2014 to Nov 28, 2017 · Trumbull, Ct
S••••••• I••••••••• I••• former
Mar 28, 2007 to Jun 4, 2012 · Trumbull, Ct

Moves

a registration end followed by a registration begin elsewhere

A•••• W••••• M••••••••• I••• to S•••• W••• M•••• M••••••••• L••
left Mar 22, 2024, registered Jun 17, 2024 (87 days) · RIA to a state-registered adviser
F••••••••• I••••••••• A••••••• L•• to A•••• W••••• M••••••••• I•••
left Feb 27, 2024, registered Jan 16, 2024 (-42 days) · RIA to RIA
M•• W••••• M••••••••• L•• to F••••••••• I••••••••• A••••••• L••
left Mar 1, 2021, registered Aug 20, 2021 (172 days) · Other
H••••• I••••••••• M••••••••• L•• to M•• W••••• M••••••••• L••
left Nov 28, 2017, registered Jan 24, 2018 (57 days) · Other
S••••••• I••••••••• I••• to H••••• I••••••••• M••••••••• L••
left Jun 4, 2012, registered May 30, 2014 (725 days) · Other

Signals

M•••••• J• L•••••••• left A•••• W••••• M••••••••• I••• for S•••• W••• M•••• M••••••••• L•• (registered 2024-06-17)
Mar 22, 2024 · Advisor changed firm · fact
M•••••• J• L•••••••• left F••••••••• I••••••••• A••••••• L•• for A•••• W••••• M••••••••• I••• (registered 2024-01-16)
Feb 27, 2024 · 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: STATE REGISTEREDderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address