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••••••••• S••••

N•• A••••••• S••••••• I••independent RIAWillington, Ctdual registrantIAPD 2092603

Certified Financial Planner

Feed of 09/14/2026

Also filed as Carolelynn S••••

At current firm

1 y

since May 28, 2025

In the industry

30 y

since Aug 1, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Financial Advisor, CFP, CPAreportedartisancap.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

N•• A••••••• S••••••• I•• independent RIA current
since May 28, 2025 · Willington, Ct
T•• A•••••••• G•••• BD affiliated
Jul 29, 2024 to Jul 2, 2025 · Willington, Ct
T•• P••••••• W••••• C•••• independent RIA
Aug 13, 2007 to Mar 21, 2012 · Willington, Ct
N••• F•••••••• G••••• I••• former
Oct 24, 2006 to Jul 31, 2024 · Salado, Tx
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Mar 22, 2001 to Oct 30, 2006 · Willington, Ct

Moves

a registration end followed by a registration begin elsewhere

T•• A•••••••• G•••• to N•• A••••••• S••••••• I••
left Jul 2, 2025, registered May 28, 2025 (-35 days) · corporate re-registration, not a move
N••• F•••••••• G••••• I••• to T•• P••••••• W••••• C••••
left Jul 31, 2024, registered Aug 13, 2007 (-6197 days) · Other
T•• P••••••• W••••• C•••• to T•• A•••••••• G••••
left Mar 21, 2012, registered Jul 29, 2024 (4513 days) · Other
T••••••••• F•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••
left Oct 30, 2006, registered Oct 24, 2006 (-6 days) · Other

Signals

C••••••••• S•••• left N••• F•••••••• G••••• I••• for T•• P••••••• W••••• C•••• (registered 2007-08-13)
Jul 31, 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address