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••• C•••••• J•••••

G•••••• W••••• P•••••••• L••independent RIACromwell, Ct dual registrantIAPD 819125

Feed of 09/15/2026

Also filed as T••• C J•••••

At current firm

3 y

since Mar 15, 2023

In the industry

41 y

since May 29, 1985 (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

G•••••• W••••• P•••••••• L•• independent RIA current
since Mar 15, 2023 · Appleton, Wi
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 21, 2022 to Apr 3, 2023 · Cromwell, Ct
C••••••• • C••• I••• former
Mar 19, 2004 to Apr 11, 2023 · Avon, Ct
U•• F•••••••• S••••••• I••• wirehouse
Sep 9, 1991 to Apr 2, 2004 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 11, 2023, registered Dec 21, 2022 (-111 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••••• I••••••••• R••••••• A•••••••• I••• to G•••••• W••••• P•••••••• L••
left Apr 3, 2023, registered Mar 15, 2023 (-19 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U•• F•••••••• S••••••• I••• to C••••••• • C••• I•••
left Apr 2, 2004, registered Mar 19, 2004 (-14 days) · Other

Signals

T••• C•••••• J••••• left C••••••• • C••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-12-21)
Apr 11, 2023 · Advisor changed firm · fact
T••• C•••••• J••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for G•••••• W••••• P•••••••• L•• (registered 2023-03-15)
Apr 3, 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: Independent wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address