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•••• V•••••• C•••••

C••••• P••••••• L••independent RIANew York, Ny IA-onlyIAPD 6220788

Certified Financial Planner

Feed of 09/15/2026

Also filed as T•••• C•••••

At current firm

2 y

since Dec 13, 2023

In the industry

11 y

since May 1, 2015 (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

C••••• P••••••• L•• independent RIA current
since Dec 13, 2023 · Boston, Ma
L•• F•••••••• L•• BD affiliated
Jun 1, 2022 to Nov 8, 2023 · Boston, Ma
W••••••••• T•••• I••••••••• A•••••••• I••• other
Dec 9, 2021 to May 16, 2022 · Boston, Ma
T• P•••••• C••••• W••••• L•• BD affiliated
Oct 11, 2017 to Sep 20, 2021 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• P••••••• L••
left Nov 8, 2023, registered Dec 13, 2023 (35 days) · Affiliated broker-dealer or bank to independent RIA
W••••••••• T•••• I••••••••• A•••••••• I••• to L•• F•••••••• L••
left May 16, 2022, registered Jun 1, 2022 (16 days) · Other
T• P•••••• C••••• W••••• L•• to W••••••••• T•••• I••••••••• A•••••••• I•••
left Sep 20, 2021, registered Dec 9, 2021 (80 days) · Other

Signals

T•••• V•••••• C••••• left L•• F•••••••• L•• for C••••• P••••••• L•• (registered 2023-12-13)
Nov 8, 2023 · Advisor changed firm · fact
T•••• V•••••• C••••• left W••••••••• T•••• I••••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-06-01)
May 16, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address