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

C••••••••• L••••••• C••••••

I•••••••• A•••••••• L••BD affiliatedFarmington, Ct dual registrantIAPD 4731314

Certified Financial Planner

Feed of 09/15/2026

Also filed as C••••••••• C••••••

At current firm

3 y

since Sep 23, 2022

In the industry

22 y

since Jan 30, 2004 (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

I•••••••• A•••••••• L•• BD affiliated current
since Sep 23, 2022 · Urbandale, Ia
C•••••• A••••••• BD affiliated
May 20, 2015 to Sep 26, 2022 · Farmington, Ct
L•••••• I••••••••• independent RIA
Jan 28, 2015 to Sep 26, 2022 · Farmington, Ct
M•• I•••••••• S•••••••• L•• BD affiliated
May 4, 2012 to Oct 15, 2014 · Hamden, Ct
E•••• W••••• M••••••••• L•• former
Nov 14, 2011 to Nov 16, 2011 · Saratoga Springs, Ny
M•• F•••••••• S•••••••• I••• former
Jun 29, 2010 to Nov 23, 2011 · Glastonbury, Ct
P••• A••••• S••••••••• L•• BD affiliated
Aug 22, 2008 to Jun 22, 2010 · Farmington, Ct
M•• F•••••••• S•••••••• I••• former
Oct 13, 2004 to Aug 13, 2008 · Glastonbury, Ct

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to I•••••••• A•••••••• L••
left Sep 26, 2022, registered Sep 23, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
L•••••• I••••••••• to C•••••• A•••••••
left Sep 26, 2022, registered May 20, 2015 (-2686 days) · Other · moved with a team
M•• I•••••••• S•••••••• L•• to L•••••• I•••••••••
left Oct 15, 2014, registered Jan 28, 2015 (105 days) · Other
M•• F•••••••• S•••••••• I••• to E•••• W••••• M••••••••• L••
left Nov 23, 2011, registered Nov 14, 2011 (-9 days) · Other
E•••• W••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••
left Nov 16, 2011, registered May 4, 2012 (170 days) · Other
P••• A••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••
left Jun 22, 2010, registered Jun 29, 2010 (7 days) · Other
M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••
left Aug 13, 2008, registered Aug 22, 2008 (9 days) · Other

Signals

C••••••••• L••••••• C•••••• left C•••••• A••••••• for I•••••••• A•••••••• L•• (registered 2022-09-23)
Sep 26, 2022 · Advisor changed firm · fact
C••••••••• L••••••• C•••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2015-05-20)
Sep 26, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address