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

J••• S•••••• B•••••

C••••••••• F•••••••• N••••••national BDTorrington, Ct dual registrantIAPD 3122002

Feed of 09/15/2026

At current firm

1 y

since Feb 5, 2025

In the industry

27 y

since Nov 23, 1998 (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

C••••••••• F•••••••• N•••••• national BD current
since Feb 5, 2025 · West Hartford, Ct
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 4, 2021 to Feb 5, 2025 · West Hartford, Ct
J••••• M••••••••• S•••• L•• BD affiliated
Nov 21, 2019 to Oct 18, 2021 · Westbrook, Ct
L•• F•••••••• L•• BD affiliated
Oct 11, 2011 to Dec 13, 2019 · Torrington, Ct
U•••• F•••••••• S••••••• G••••• I••• unclassified
Feb 25, 2010 to Oct 11, 2011 · Thomaston, Ct

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••
left Feb 5, 2025, registered Feb 5, 2025 (0 days) · Affiliated broker-dealer or bank to another
J••••• M••••••••• S•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 18, 2021, registered Oct 4, 2021 (-14 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to J••••• M••••••••• S•••• L••
left Dec 13, 2019, registered Nov 21, 2019 (-22 days) · Affiliated broker-dealer or bank to another
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move

Signals

J••• S•••••• B••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2025-02-05)
Feb 5, 2025 · 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address