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••••• C••• P••••••

S•••••••• F•••••••• G••••• I•••independent RIAStamford, Ct IA-onlyIAPD 5055826

Feed of 09/14/2026

At current firm

0 y

since Oct 31, 2025

In the industry

20 y

since Aug 31, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

T••••••• W•••••• L•• state registered current
since Aug 21, 2026 · Fairfield, Ct
S•••••••• F•••••••• G••••• I••• independent RIA current
since Oct 31, 2025 · Fairfield, Ct
L•• F•••••••• L•• BD affiliated
Apr 19, 2022 to Nov 5, 2025 · San Diego, Ca
W••••••• F•••••••• S•••••••• I••• former
Nov 25, 2020 to Apr 26, 2022 · Fairfield, Ct
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jun 24, 2020 to Nov 30, 2020 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to S•••••••• F•••••••• G••••• I•••
left Nov 5, 2025, registered Oct 31, 2025 (-5 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left Apr 26, 2022, registered Apr 19, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA
T••••••••• F•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Nov 30, 2020, registered Nov 25, 2020 (-5 days) · Affiliated broker-dealer or bank to another

Signals

D••••• C••• P•••••• left L•• F•••••••• L•• for S•••••••• F•••••••• G••••• I••• (registered 2025-10-31)
Nov 5, 2025 · Advisor changed firm · fact
D••••• C••• P•••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-04-19)
Apr 26, 2022 · 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address