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

A••••• C••••••

L•• E••••••••• L••BD affiliatedRocky Hill, Ctdual registrantIAPD 2145624

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Nov 14, 2024

In the industry

32 y

since Jul 15, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Rocky Hill, Ct
P•••• S••••••••• L•• no RAUM
May 14, 2018 to Nov 14, 2024 · Rocky Hill, Ct
W•••• F•••• A••••••• wirehouse
Nov 12, 2010 to Apr 24, 2018 · Glastonbury, Ct
R•••••• J•••• • A••••••••• I••• national BD
Apr 30, 2008 to Nov 18, 2010 · Springfield, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 14, 2005 to Mar 25, 2008 · Hartford, Ct
T•••• S••••• S••••••••• I••• former
Jul 6, 2000 to Dec 7, 2005 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to P•••• S••••••••• L••
left Apr 24, 2018, registered May 14, 2018 (20 days) · Wirehouse to affiliated broker-dealer or bank
R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
left Nov 18, 2010, registered Nov 12, 2010 (-6 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Mar 25, 2008, registered Apr 30, 2008 (36 days) · Wirehouse to affiliated broker-dealer or bank
T•••• S••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 7, 2005, registered Nov 14, 2005 (-23 days) · Other

Signals

No dated event on this person.

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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address