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

E••• J• C•••

N•• E••• W•••••BD affiliatedStamford, Ctdual registrantIAPD 6577755

Feed of 09/14/2026

Also filed as E••• J• C•••

At current firm

0 y

since Oct 24, 2025

In the industry

10 y

since Oct 1, 2015 (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

N•• E••• W••••• BD affiliated current
since Oct 24, 2025 · Stamford, Ct
W•••• F•••• A••••••• wirehouse
Jan 24, 2023 to Oct 28, 2025 · Greenwich, Ct
M••••• S•••••• wirehouse
May 4, 2018 to Feb 15, 2023 · Purchase, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 9, 2016 to Apr 23, 2018 · Guilford, Ct

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to N•• E••• W•••••
left Oct 28, 2025, registered Oct 24, 2025 (-4 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to W•••• F•••• A•••••••
left Feb 15, 2023, registered Jan 24, 2023 (-22 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Apr 23, 2018, registered May 4, 2018 (11 days) · Wirehouse to wirehouse

Signals

E••• J• C••• left W•••• F•••• A••••••• for N•• E••• W••••• (registered 2025-10-24)
Oct 28, 2025 · advisor firm c•••ge · fact
E••• J• C••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2023-01-24)
Feb 15, 2023 · advisor firm c•••ge · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address