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

R•••••• R••••••

W•••• F•••• A•••••••wirehouseHamden, Ct dual registrantIAPD 6466059

Feed of 09/15/2026

Also filed as R•••••• R••••••

At current firm

0 y

since Dec 10, 2025

In the industry

10 y

since Jan 1, 2016 (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•••• I••••••••• I••• BD affiliated current
since Sep 8, 2026 · Norwalk, Ct
W•••• F•••• A••••••• wirehouse current
since Dec 10, 2025 · Hamden, Ct
L•• F•••••••• L•• BD affiliated
May 15, 2024 to Dec 12, 2025 · Hartford, Ct
J••• M••••• S••••••••• L•• wirehouse
Dec 1, 2021 to May 15, 2024 · South Windsor, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 30, 2019 to Nov 22, 2021 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to W•••• F•••• A•••••••
left Dec 12, 2025, registered Dec 10, 2025 (-2 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left May 15, 2024, registered May 15, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Nov 22, 2021, registered Dec 1, 2021 (9 days) · Wirehouse to wirehouse

Signals

R•••••• R•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-12-10)
Dec 12, 2025 · Advisor changed firm · fact
R•••••• R•••••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2024-05-15)
May 15, 2024 · 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address