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RIA Intelligence
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Registered advisor
S•• S••••
Feed of 09/14/2026
Also filed as S•• S••••
At current firm
5 y
since Dec 14, 2020
In the industry
25 y
since Jan 5, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••• A•••• M••••••••• L•• state registered currentsince Dec 14, 2020 · Southbury, Ct
- L•• F•••••••• L•• BD affiliatedFeb 15, 2019 to Sep 25, 2020 · Glastonbury, Ct
- W•••• F•••• A••••••• wirehouseNov 12, 2014 to Feb 20, 2019 · Glastonbury, Ct
- S•••• A•••• M••••••••• L•• unclassifiedJun 19, 2009 to Aug 15, 2014 · Southbury, Ct
- P••••••••• E••••• G••••• L•• unclassifiedJan 5, 2001 to Sep 27, 2002 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to S•••• A•••• M••••••••• L••left Sep 25, 2020, registered Dec 14, 2020 (80 days) · Affiliated broker-dealer or bank to a state-registered adviser
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 20, 2019, registered Feb 15, 2019 (-5 days) · Wirehouse to independent RIA · moved with a team
- S•••• A•••• M••••••••• L•• to W•••• F•••• A•••••••left Aug 15, 2014, registered Nov 12, 2014 (89 days) · Other
- P••••••••• E••••• G••••• L•• to S•••• A•••• M••••••••• L••left Sep 27, 2002, registered Jun 19, 2009 (2457 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address