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

S•••••• K• M••••••

S•• W••••• M••••••••• L••formerWethersfield, CtIA-onlyIAPD 5075185

Feed of 09/14/2026

Also filed as Stephen Kelley Mulhall

At current firm

0 y

since Jan 30, 2026

In the industry

20 y

since Jun 20, 2006 (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

S•• W••••• M••••••••• L•• former current
since Jan 30, 2026 · Wethersfield, Ct
S•• W••••• M••••••••• L•• former
Jul 10, 2025 to Dec 31, 2025 · Wethersfield, Ct
C••••••• P•••••• W••••• BD affiliated
May 11, 2023 to May 9, 2025 · West Harford, Ct
C••••••• S••••••••• I••• BD affiliated
May 11, 2023 to May 9, 2025 · West Harford, Ct
C•••••• S••••• • C••• I••• national BD
May 24, 2010 to Jun 2, 2023 · West Hartford, Ct
W•••• F•••• A••••••• wirehouse
May 16, 2008 to May 10, 2010 · Hartford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2006 to May 20, 2008 · New Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to C••••••• S••••••••• I•••
left May 9, 2025, registered May 11, 2023 (-729 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to S•• W••••• M••••••••• L••
left May 9, 2025, registered Jul 10, 2025 (62 days) · Affiliated broker-dealer or bank to a newly registered adviser
C•••••• S••••• • C••• I••• to C••••••• P•••••• W•••••
left Jun 2, 2023, registered May 11, 2023 (-22 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••
left May 10, 2010, registered May 24, 2010 (14 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left May 20, 2008, registered May 16, 2008 (-4 days) · Wirehouse to wirehouse

Signals

S•••••• K• M•••••• left C••••••• S••••••••• I••• for S•• W••••• M••••••••• L•• (registered 2025-07-10)
May 9, 2025 · Advisor changed firm · fact
S•••••• K• M•••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-05-11)
May 9, 2025 · Advisor changed firm · fact
S•••••• K• M•••••• left C•••••• S••••• • C••• I••• for C••••••• P•••••• W••••• (registered 2023-05-11)
Jun 2, 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: Former SEC-registered adviserderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address