DFX Intelligence
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Registered advisor
T••••• C•••• W•••••••••
Feed of 09/14/2026
Also filed as Thomas Williamson
At current firm
4 y
since Apr 12, 2022
In the industry
17 y
since Dec 23, 2008 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 12, 2022 · Stamford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 27, 2022 to Sep 7, 2023 · Greenwich, Ct
- T• A••••••••• I••• formerJan 27, 2022 to Oct 14, 2022 · Greenwich, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 11, 2020 to Aug 18, 2021 · Norwalk, Ct
- A••••• A•• P••••••• S••••••• BD affiliatedAug 14, 2015 to Mar 6, 2020 · Stamford, Ct
- M•• F•••••••• S•••••••• I••• formerDec 24, 2008 to Aug 7, 2015 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 12, 2022 (-513 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 27, 2022 (-260 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to T• A••••••••• I•••left Aug 18, 2021, registered Jan 27, 2022 (162 days) · Other
- A••••• A•• P••••••• S••••••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 6, 2020, registered Sep 11, 2020 (189 days) · Other
- M•• F•••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Aug 7, 2015, registered Aug 14, 2015 (7 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address