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••• M•••• R•••••••••

R•• C•••••• M••••••• L••national BDFarmington, Ct dual registrantIAPD 4971364

Certified Financial Planner

Feed of 09/15/2026

Also filed as Cara Richards

At current firm

8 y

since Nov 27, 2017

In the industry

20 y

since Nov 10, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•• C•••••• M••••••• L•• national BD current
since Nov 27, 2017 · Farmington, Ct
C••••••••• F•••••••• N•••••• national BD
Apr 16, 2015 to Nov 20, 2017 · West Hartford, Ct
R•• C•••••• M••••••• L•• national BD
Sep 26, 2011 to Apr 21, 2015 · Hartford, Ct
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Nov 23, 2009 to Feb 8, 2011 · Avon, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 18, 2009 · Farmington, Ct
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 7, 2007 to Oct 23, 2009 · Winsted, Ct
G••••• P•••••••• S••••••••• I••• former
Oct 23, 2006 to Mar 7, 2007 · Hartford, Ct
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 11, 2005 to Jan 11, 2006 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to R•• C•••••• M••••••• L••
left Nov 20, 2017, registered Nov 27, 2017 (7 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to C••••••••• F•••••••• N••••••
left Apr 21, 2015, registered Apr 16, 2015 (-5 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•• C•••••• M••••••• L••
left Feb 8, 2011, registered Sep 26, 2011 (230 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Nov 18, 2009, registered Nov 23, 2009 (5 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
G••••• P•••••••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Mar 7, 2007, registered Mar 7, 2007 (0 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to G••••• P•••••••• S••••••••• I•••
left Jan 11, 2006, registered Oct 23, 2006 (285 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address