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.

Registered advisor

David Casarella

Sound Income Strategies, LLCindependent RIAWestbrook, Ct IA-onlyIAPD 5419043

Feed of 09/15/2026

Also filed as David P Casarella

At current firm

0 y

since Sep 10, 2026

In the industry

18 y

since Nov 16, 2007 (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

Sound Income Strategies, LLC independent RIA current
since Sep 10, 2026 · Glastonbury, Ct
LPL Financial LLC BD affiliated
May 29, 2024 to Sep 9, 2026 · Manchester, Ct
UBS Financial Services Inc. wirehouse
Feb 13, 2017 to Aug 23, 2023 · Hartford, Ct
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 16, 2010 to Jan 18, 2017 · Farmington, Ct
Banc Of America Investment Services, Inc. unclassified
Mar 3, 2008 to Apr 28, 2009 · West Hartford, Ct
Wells Fargo Advisors wirehouse
Jan 1, 2008 to Feb 25, 2008 · Essex, Ct
A. G. Edwards & Sons, Inc. unclassified
Nov 19, 2007 to Jan 1, 2008 · Essex, Ct

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Sound Income Strategies, LLC
left Sep 9, 2026, registered Sep 10, 2026 (1 days) · Affiliated broker-dealer or bank to independent RIA
UBS Financial Services Inc. to LPL Financial LLC
left Aug 23, 2023, registered May 29, 2024 (280 days) · Wirehouse to affiliated broker-dealer or bank
Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.
left Jan 18, 2017, registered Feb 13, 2017 (26 days) · Wirehouse to wirehouse
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Apr 28, 2009, registered Aug 16, 2010 (475 days) · Other
Wells Fargo Advisors to Banc Of America Investment Services, Inc.
left Feb 25, 2008, registered Mar 3, 2008 (7 days) · Other
A. G. Edwards & Sons, Inc. to Wells Fargo Advisors
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

David Casarella left Lpl Financial Llc for Sound Income Strategies, Llc (registered 2026-09-10)
Sep 9, 2026 · Advisor changed firm · fact
David Casarella left Ubs Financial Services Inc. for Lpl Financial Llc (registered 2024-05-29)
Aug 23, 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address