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RIA Intelligence
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Registered advisor
D•••• T••••• S•••••••
Feed of 09/14/2026
At current firm
11 y
since Mar 9, 2015
In the industry
26 y
since Oct 19, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Mar 9, 2015 · Watertown, Ct
- L•• F•••••••• L•• BD affiliatedOct 28, 2003 to Nov 10, 2004 · Farmington, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 19, 1999 to May 5, 2003 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Nov 10, 2004, registered Mar 9, 2015 (3771 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 5, 2003, registered Oct 28, 2003 (176 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address