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RIA Intelligence
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Registered advisor
S••••• D•• C•••••••
Feed of 09/14/2026
At current firm
11 y
since May 19, 2015
In the industry
20 y
since Mar 23, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 19, 2015 · Middletown, Ct
- L•• F•••••••• L•• BD affiliatedApr 20, 2012 to May 15, 2015 · Middletown, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 24, 2012 · South Windsor, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 20, 2008 to Oct 23, 2009 · Middletown, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDMar 24, 2006 to Mar 26, 2008 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 15, 2015, registered May 19, 2015 (4 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 24, 2012, registered Apr 20, 2012 (-4 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
- A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 26, 2008, registered Mar 20, 2008 (-6 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address