DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C••••••• C••••• W•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••••••• Louise C•••••
At current firm
9 y
since Jul 31, 2017
In the industry
11 y
since Jul 1, 2015 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••• mixed wealth currentsince Jul 31, 2017 · Shelton, Ct
- P•••••• I••••••••• P•••••••• L•• formerJun 25, 2020 to Dec 31, 2021 · Shelton, Ct
- U•• F•••••••• S••••••• I••• wirehouseSep 8, 2015 to Jul 6, 2017 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- P•••••• I••••••••• P•••••••• L•• to no registered destinationleft Dec 31, 2021 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to P••••••left Jul 6, 2017, registered Jul 31, 2017 (25 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address