DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••••••••• N••••••
Feed of 09/14/2026
At current firm
10 y
since Sep 29, 2015
In the industry
23 y
since Jun 20, 2003 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Sep 29, 2015 · South Windsor, Ct
- L•• F•••••••• L•• BD affiliatedMay 21, 2010 to Sep 30, 2015 · South Windsor, Ct
- P•• W••••• M••••••••• BD affiliatedSep 17, 2008 to May 17, 2010 · Audubon, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 4, 2008 to Sep 3, 2008 · Allentown, Pa
- C••••• I••••••••• S••••••• L•• formerApr 14, 2008 to Jun 5, 2008 · Allentown, Pa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Sep 30, 2015, registered Sep 29, 2015 (-1 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left May 17, 2010, registered May 21, 2010 (4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Sep 3, 2008, registered Sep 17, 2008 (14 days) · Other
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 5, 2008, registered Jun 4, 2008 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address