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

K••• J•••• Z••••••

S••••• P••••••• G••••• L••state registeredGlastonbury, Ct dual registrantIAPD 1228273

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jun 12, 2024

In the industry

39 y

since Apr 17, 1987 (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••••• P••••••• G••••• L•• state registered current
since Jun 5, 2026 · Glastonbury, Ct
L•• F•••••••• L•• BD affiliated current
since Jun 12, 2024 · Glastonbury, Ct
O•••• F•• I••• former
Jan 11, 2017 to Jun 17, 2024 · Glastonbury, Ct
S••••• W••••• M••••••••• L•• unclassified
May 3, 2006 to Sep 6, 2011 · East Hartford, Ct
S••••• A•••• M••••••••• L•• unclassified
Oct 14, 1999 to Aug 24, 2024 · Glastonbury, Ct
I••••••••• A••••••• G•••• C••• former
Aug 8, 1997 to Apr 28, 2006 · East Hartford, Ct
S••••• P••••••• G••••• L•• state registered
Jul 23, 1997 to Dec 31, 2024 · Branford, Ct

Moves

a registration end followed by a registration begin elsewhere

S••••• P••••••• G••••• L•• to I••••••••• A••••••• G•••• C•••
left Dec 31, 2024, registered Aug 8, 1997 (-10007 days) · Other · moved with a team
S••••• A•••• M••••••••• L•• to S••••• W••••• M••••••••• L••
left Aug 24, 2024, registered May 3, 2006 (-6688 days) · Other
O•••• F•• I••• to L•• F•••••••• L••
left Jun 17, 2024, registered Jun 12, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••• W••••• M••••••••• L•• to O•••• F•• I•••
left Sep 6, 2011, registered Jan 11, 2017 (1954 days) · Other
I••••••••• A••••••• G•••• C••• to S••••• A•••• M••••••••• L••
left Apr 28, 2006, registered Oct 14, 1999 (-2388 days) · Other

Signals

K••• J•••• Z•••••• left S••••• P••••••• G••••• L•• for I••••••••• A••••••• G•••• C••• (registered 1997-08-08)
Dec 31, 2024 · Advisor changed firm · fact
K••• J•••• Z•••••• left S••••• A•••• M••••••••• L•• for S••••• W••••• M••••••••• L•• (registered 2006-05-03)
Aug 24, 2024 · Advisor changed firm · fact
K••• J•••• Z•••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-06-12)
Jun 17, 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: STATE REGISTEREDderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address