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

C••••• E••••••• S•••••

C••••• I••••••••• A••••••• L••BD affiliatedFarmington, Ct dual registrantIAPD 5865424

Certified Financial Planner

Feed of 09/15/2026

Also filed as C••••• S•••••

At current firm

2 y

since Dec 6, 2023

In the industry

13 y

since Oct 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Dec 6, 2023 · Farmington, Ct
C•• W•••••• L•• former
Jan 6, 2022 to Nov 17, 2023 · Rocky Hill, Ct
S•••••• W••••• A••••••• L•• independent RIA
May 18, 2020 to Dec 16, 2021 · East Hartford, Ct
K•• I••••••••• S••••••• L•• BD affiliated
Jan 17, 2018 to Jul 13, 2018 · West Springfield, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 29, 2012 to Aug 23, 2017 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C•• W•••••• L•• to C••••• I••••••••• A••••••• L••
left Nov 17, 2023, registered Dec 6, 2023 (19 days) · RIA to affiliated broker-dealer or bank
S•••••• W••••• A••••••• L•• to C•• W•••••• L••
left Dec 16, 2021, registered Jan 6, 2022 (21 days) · RIA to RIA
K•• I••••••••• S••••••• L•• to S•••••• W••••• A••••••• L••
left Jul 13, 2018, registered May 18, 2020 (675 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•• I••••••••• S••••••• L••
left Aug 23, 2017, registered Jan 17, 2018 (147 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C••••• E••••••• S••••• left C•• W•••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-12-06)
Nov 17, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address