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

T••••• J• C•••••

O•••• A••••••• S•••••••• L••BD affiliatedWindsor, Ctdual registrantIAPD 5243482

Feed of 09/14/2026

Also filed as T••••• Joseph C•••••

At current firm

1 y

since Nov 8, 2024

In the industry

19 y

since May 22, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• A••••••• S•••••••• L•• BD affiliated current
since Nov 8, 2024 · Windsor, Ct
A•••• P•••• A••••••• former
Jun 8, 2021 to Nov 8, 2024 · Windsor, Ct
H•••••• I••• W••••• A••••••• independent RIA
Jan 10, 2020 to May 28, 2021 · Wethersfield, Ct
C••• B•••••••• S•••••••• I••• former
Jul 11, 2018 to Dec 4, 2019 · Waverly, Ia
L•• F•••••••• L•• BD affiliated
May 3, 2017 to Apr 20, 2018 · West Springfield, Ma
W•••••••• A•••• M••••••••• I••• mixed wealth
Feb 10, 2014 to Jan 3, 2017 · Portsmouth, Nh

Moves

a registration end followed by a registration begin elsewhere

A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••
left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
H•••••• I••• W••••• A••••••• to A•••• P•••• A•••••••
left May 28, 2021, registered Jun 8, 2021 (11 days) · RIA to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to H•••••• I••• W••••• A•••••••
left Dec 4, 2019, registered Jan 10, 2020 (37 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Apr 20, 2018, registered Jul 11, 2018 (82 days) · RIA to RIA
W•••••••• A•••• M••••••••• I••• to L•• F•••••••• L••
left Jan 3, 2017, registered May 3, 2017 (120 days) · Other

Signals

No dated event on this person.

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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address