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

N•••• S•••••••

E•••• F•••••••• S•••••••• I•••independent RIAE••••, CtIA-onlyIAPD 2325104

Feed of 09/14/2026

Also filed as N•••• Beth S•••••••

At current firm

2 y

since Aug 23, 2024

In the industry

31 y

since Apr 10, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• F•••••••• S•••••••• I••• independent RIA current
since Aug 23, 2024 · E••••, Ct
C••••••••• F•••••••• N•••••• national BD
Jun 23, 2022 to Aug 19, 2024 · Glastonbury, Ct
E•••• F•••••••• S•••••••• I••• independent RIA
Aug 2, 2021 to Jun 6, 2022 · Farmington, Ct
C••••••••• F•••••••• N•••••• national BD
Jul 8, 2015 to Jul 20, 2021 · West Hartford, Ct
V••• R••••••••• A•••••••• L•• other
Apr 19, 2012 to Aug 6, 2013 · Des Moines, Ia
V••• F•••••••• P•••••••• L•• former
Apr 17, 2012 to Aug 6, 2013 · Des Moines, Ia
V••• F•••••••• A•••••••• I••• BD affiliated
Mar 14, 2011 to Jan 12, 2015 · Windsor, Ct
V••• F•••••••• P•••••••• L•• former
Nov 21, 2002 to Mar 18, 2011 · Windsor, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to E•••• F•••••••• S•••••••• I•••
left Aug 19, 2024, registered Aug 23, 2024 (4 days) · Affiliated broker-dealer or bank to independent RIA
E•••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••
left Jun 6, 2022, registered Jun 23, 2022 (17 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to E•••• F•••••••• S•••••••• I•••
left Jul 20, 2021, registered Aug 2, 2021 (13 days) · Affiliated broker-dealer or bank to independent RIA
V••• F•••••••• A•••••••• I••• to V••• F•••••••• P•••••••• L••
left Jan 12, 2015, registered Apr 17, 2012 (-1000 days) · Other
V••• R••••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••
left Aug 6, 2013, registered Jul 8, 2015 (701 days) · Other
V••• F•••••••• P•••••••• L•• to V••• R••••••••• A•••••••• L••
left Aug 6, 2013, registered Apr 19, 2012 (-474 days) · channel change inside one enterprise, not a move
V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••
left Mar 18, 2011, registered Mar 14, 2011 (-4 days) · Other

Signals

N•••• S••••••• left C••••••••• F•••••••• N•••••• for E•••• F•••••••• S•••••••• I••• (registered 2024-08-23)
Aug 19, 2024 · Advisor changed firm · fact
N•••• S••••••• left E•••• F•••••••• S•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-06-23)
Jun 6, 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: Independent wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address