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.
Registered advisor
Susan K Roth
Feed of 09/14/2026
Also filed as Susan Roth
At current firm
2 y
since Apr 30, 2024
In the industry
30 y
since Dec 12, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Essex Financial Services, Inc. independent RIA currentsince Apr 30, 2024 · Essex, Ct
- Commonwealth Financial Network national BDApr 11, 2019 to Apr 22, 2024 · Wallingford, Ct
- Cfo Capital Management, LLC formerJan 30, 2019 to Mar 20, 2019 · Old Saybrook Avenue, Ct
- Planmember Securities Corporation independent RIASep 18, 2015 to Jan 5, 2017 · Farmingville, Ny
- Westport Resources Management Inc formerJun 11, 2012 to Jun 11, 2015 · Westport, Ct
- Nfp Advisor Services, LLC formerMay 12, 2011 to Dec 1, 2011 · Shelton, Ct
- Westport Resources Management Inc formerApr 20, 2005 to May 13, 2011 · Westport, Ct
- UBS Financial Services Inc. wirehouseAug 24, 1998 to Jun 13, 2002 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- Commonwealth Financial Network to Essex Financial Services, Inc.left Apr 22, 2024, registered Apr 30, 2024 (8 days) · Affiliated broker-dealer or bank to independent RIA
- Cfo Capital Management, LLC to Commonwealth Financial Networkleft Mar 20, 2019, registered Apr 11, 2019 (22 days) · RIA to affiliated broker-dealer or bank
- Planmember Securities Corporation to Cfo Capital Management, LLCleft Jan 5, 2017, registered Jan 30, 2019 (755 days) · Other
- Westport Resources Management Inc to Planmember Securities Corporationleft Jun 11, 2015, registered Sep 18, 2015 (99 days) · Other
- Nfp Advisor Services, LLC to Westport Resources Management Incleft Dec 1, 2011, registered Jun 11, 2012 (193 days) · Other
- Westport Resources Management Inc to Nfp Advisor Services, LLCleft May 13, 2011, registered May 12, 2011 (-1 days) · Other
- UBS Financial Services Inc. to Westport Resources Management Incleft Jun 13, 2002, registered Apr 20, 2005 (1042 days) · Other
Signals
- Susan K Roth left Commonwealth Financial Network for Essex Financial Services, Inc. (registered 2024-04-30)Apr 22, 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