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•••• E•••••••• S•••••••

L•• F•••••••• L••BD affiliatedMystic, Ct dual registrantIAPD 1475780

Feed of 09/15/2026

At current firm

2 y

since Jun 27, 2024

In the industry

40 y

since Aug 21, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 27, 2024 · Mystic, Ct
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Jun 27, 2024 · Mystic, Ct
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Jun 29, 2023 · Braintree, Ma
V••• F•••••••• A•••••••• I••• BD affiliated
Mar 20, 2018 to Jun 9, 2021 · Mystic, Ct
C•••••• S••••• • C••• I••• national BD
Aug 29, 2016 to Oct 2, 2017 · Mystic, Ct
M••••• S•••••• wirehouse
Oct 14, 2010 to Dec 12, 2011 · Mystic, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Jun 27, 2024, registered Jun 27, 2024 (0 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••• S••••• • C••• I••• to V••• F•••••••• A•••••••• I•••
left Oct 2, 2017, registered Mar 20, 2018 (169 days) · Other
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Dec 12, 2011, registered Aug 29, 2016 (1722 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C•••• E•••••••• S••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-06-27)
Jun 27, 2024 · a•••••• firm change · 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address