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
Richard Alec Rosen
Certified Financial Planner
Feed of 09/14/2026
Also filed as Richard Rosen
At current firm
2 y
since Nov 22, 2023
In the industry
16 y
since Sep 10, 2010 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Connecticut Wealth Management, LLC independent RIA currentsince Nov 22, 2023 · Farmington, Ct
- Rwa Wealth Partners independent RIAApr 23, 2018 to Jul 13, 2023 · Boston, Ma
- LPL Financial LLC BD affiliatedNov 25, 2013 to Apr 25, 2018 · San Diego, Ca
- Amundi Pioneer Institutional Asset Management, Inc. formerJul 18, 2011 to Oct 21, 2013 · Boston, Ma
- Edward Jones national BDSep 13, 2010 to Jul 8, 2011 · Maryland Heights, Mo
Moves
a registration end followed by a registration begin elsewhere
- Rwa Wealth Partners to Connecticut Wealth Management, LLCleft Jul 13, 2023, registered Nov 22, 2023 (132 days) · RIA to RIA
- LPL Financial LLC to Rwa Wealth Partnersleft Apr 25, 2018, registered Apr 23, 2018 (-2 days) · RIA to RIA
- Amundi Pioneer Institutional Asset Management, Inc. to LPL Financial LLCleft Oct 21, 2013, registered Nov 25, 2013 (35 days) · Other
- Edward Jones to Amundi Pioneer Institutional Asset Management, Inc.left Jul 8, 2011, registered Jul 18, 2011 (10 days) · Other
Signals
- Richard Alec Rosen left Rwa Wealth Partners for Connecticut Wealth Management, Llc (registered 2023-11-22)Jul 13, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address