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

D•••• C•••••

S•••••••• A••••••• L••national BDNew Haven, Ct dual registrantIAPD 5212038

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as D•••• J C•••••

At current firm

1 y

since Apr 4, 2025

In the industry

19 y

since Mar 14, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Apr 4, 2025 · Simsbury, Ct
C••••••• P•••••• W••••• BD affiliated
Apr 3, 2023 to Dec 9, 2024 · Tarrytown, Ny
C••••••• S••••••••• I••• BD affiliated
Apr 3, 2023 to Dec 9, 2024 · Johnston, Ri
C•••••• S••••• • C••• I••• national BD
Oct 24, 2017 to Mar 27, 2023 · West Hartford, Ct
S•••••••• A••••••• L•• national BD
Aug 11, 2016 to Oct 5, 2017 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to C••••••• S••••••••• I•••
left Dec 9, 2024, registered Apr 3, 2023 (-616 days) · RIA to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to S•••••••• A••••••• L••
left Dec 9, 2024, registered Apr 4, 2025 (116 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to C••••••• P•••••• W•••••
left Mar 27, 2023, registered Apr 3, 2023 (7 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 5, 2017, registered Oct 24, 2017 (19 days) · Affiliated broker-dealer or bank to another

Signals

D•••• C••••• left C••••••• P•••••• W••••• for S•••••••• A••••••• L•• (registered 2025-04-04)
Dec 9, 2024 · Advisor changed firm · fact
D•••• C••••• left C••••••• S••••••••• I••• for C••••••• P•••••• W••••• (registered 2023-04-03)
Dec 9, 2024 · Advisor changed firm · fact
D•••• C••••• left C•••••• S••••• • C••• I••• for C••••••• S••••••••• I••• (registered 2023-04-03)
Mar 27, 2023 · 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: National broker-dealer RIAderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address