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.

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Registered advisor

S••••• J••• R•••

L•• F•••••••• L••BD affiliatedTrumbull, Ct dual registrantIAPD 2185124

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

3 y

since May 2, 2023

In the industry

34 y

since Feb 21, 1992 (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•• F•••••••• L•• BD affiliated current
since May 2, 2023 · Westport, Ct
P•••• S••••••••• L•• no RAUM
Feb 18, 2021 to May 19, 2023 · New Canaan, Ct
A••••• A•••••••• L•• independent RIA
Jun 10, 2019 to Mar 4, 2021 · North White Plains, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Feb 18, 2014 to Dec 24, 2014 · Stamford, Ct
S•••••••• A••••••• L•• national BD
Jan 21, 2009 to Dec 24, 2013 · Greenwich, Ct

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• F•••••••• L••
left May 19, 2023, registered May 2, 2023 (-17 days) · Affiliated broker-dealer or bank to another
A••••• A•••••••• L•• to P•••• S••••••••• L••
left Mar 4, 2021, registered Feb 18, 2021 (-14 days) · RIA to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to A••••• A•••••••• L••
left Dec 24, 2014, registered Jun 10, 2019 (1629 days) · Other
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Dec 24, 2013, registered Feb 18, 2014 (56 days) · Other

Signals

S••••• J••• R••• left P•••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-05-02)
May 19, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address