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

D•••• A•••••• T•••

L•• F•••••••• L••BD affiliatedWethersfield, Ctdual registrantIAPD 4602501

Feed of 09/14/2026

Also filed as D•••• A•••••• Robert T•••

At current firm

2 y

since Jan 17, 2024

In the industry

23 y

since Jan 15, 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

L•• F•••••••• L•• BD affiliated current
since Jan 17, 2024 · Wethersfield, Ct
C•••••• S••••• • C••• I••• national BD
Sep 7, 2017 to Jan 26, 2024 · West Hartford, Ct
S•••••••• A••••••• L•• national BD
Mar 31, 2011 to Aug 13, 2017 · West Hartford, Ct
M•• F•••••••• S•••••••• I••• former
Nov 18, 2008 to Jan 31, 2011 · Glastonbury, Ct
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 16, 2003 to Nov 18, 2008 · East Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Jan 26, 2024, registered Jan 17, 2024 (-9 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Aug 13, 2017, registered Sep 7, 2017 (25 days) · Affiliated broker-dealer or bank to another
M•• F•••••••• S•••••••• I••• to S•••••••• A••••••• L••
left Jan 31, 2011, registered Mar 31, 2011 (59 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••
left Nov 18, 2008, registered Nov 18, 2008 (0 days) · Other

Signals

D•••• A•••••• T••• left C•••••• S••••• • C••• I••• for L•• F•••••••• L•• (registered 2024-01-17)
Jan 26, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address