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RIA Intelligence
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Registered advisor
C••••••••• L•• C•••••
Feed of 09/14/2026
Also filed as C••••••••• C•••••
At current firm
10 y
since Dec 1, 2015
In the industry
18 y
since Mar 28, 2008 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Dec 1, 2015 · South Windsor, Ct
- L•• F•••••••• L•• BD affiliatedDec 19, 2011 to Dec 18, 2015 · Vernon, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Dec 18, 2015, registered Dec 1, 2015 (-17 days) · Other · moved with a team
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address