DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• S••••••••• S••••••
Feed of 09/14/2026
Also filed as S••••• S••••••
At current firm
3 y
since Dec 2, 2022
In the industry
36 y
since Jan 23, 1990 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Dec 2, 2022 · West Hartford, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 11, 2019 to Dec 8, 2022 · Simsbury, Ct
- L•• F•••••••• L•• BD affiliatedFeb 29, 2008 to Oct 16, 2019 · Simsbury, Ct
- O•••• I••••••••• I••• BD affiliatedMar 20, 2001 to Feb 29, 2008 · Avon, Ct
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Dec 8, 2022, registered Dec 2, 2022 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 16, 2019, registered Oct 11, 2019 (-5 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to L•• F•••••••• L••left Feb 29, 2008, registered Feb 29, 2008 (0 days) · Other
Signals
- S••••• S••••••••• S•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M••••• S•••••• (registered 2022-12-02)Dec 8, 2022 · 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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address