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

C•••••• M•••• C••••••

S•••• W••• M•••• M••••••••• L••state registeredShelton, CtIA-onlyIAPD 7415101

Feed of 09/14/2026

Also filed as C•••••• C••••••

At current firm

1 y

since Apr 28, 2025

In the industry

12 y

since Feb 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••• W••• M•••• M••••••••• L•• state registered current
since Apr 28, 2025 · Shelton, Ct
E•••••••• A•••••••• L•• national BD
Sep 3, 2024 to Apr 24, 2025 · New York, Ny
D•••••••• • A••••••••• I••• unclassified
Oct 13, 2023 to Feb 6, 2024 · Norwalk, Ct
I••••• P••••••••• W•••••• L•• independent RIA
Apr 27, 2023 to Dec 19, 2023 · Norwalk, Ct

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A•••••••• L•• to S•••• W••• M•••• M••••••••• L••
left Apr 24, 2025, registered Apr 28, 2025 (4 days) · Affiliated broker-dealer or bank to a state-registered adviser
D•••••••• • A••••••••• I••• to E•••••••• A•••••••• L••
left Feb 6, 2024, registered Sep 3, 2024 (210 days) · Other
I••••• P••••••••• W•••••• L•• to D•••••••• • A••••••••• I•••
left Dec 19, 2023, registered Oct 13, 2023 (-67 days) · Other

Signals

C•••••• M•••• C•••••• left E•••••••• A•••••••• L•• for S•••• W••• M•••• M••••••••• L•• (registered 2025-04-28)
Apr 24, 2025 · Advisor changed firm · fact
C•••••• M•••• C•••••• left D•••••••• • A••••••••• I••• for E•••••••• A•••••••• L•• (registered 2024-09-03)
Feb 6, 2024 · Advisor changed firm · fact
C•••••• M•••• C•••••• left I••••• P••••••••• W•••••• L•• for D•••••••• • A••••••••• I••• (registered 2023-10-13)
Dec 19, 2023 · 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: STATE REGISTEREDderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address