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.

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Registered advisor

R•••••• R• D••••

L•• E••••••••• L••BD affiliatedWarwick, Ri dual registrantIAPD 1082251

Chartered Financial Analyst

Feed of 09/15/2026

Also filed as Richard Ros Davis

At current firm

0 y

since Jul 3, 2026

In the industry

32 y

since Mar 2, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Jul 3, 2026 · Warwick, Ri
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jul 11, 2023 to Jan 15, 2025 · New York, Ny
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Apr 7, 2021 to Nov 8, 2021 · Braintree, Ma
V••••• I••••••••• A•••••••• L•• asset manager
Sep 16, 2014 to May 13, 2019 · Boston, Ma
J••• G••••• L•• unclassified
Jun 27, 2006 to Jan 29, 2007 · Boston, Ma
T•• C••••• G••••• L•• unclassified
May 12, 2005 to Jan 29, 2007 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to L•• E••••••••• L••
left Jan 15, 2025, registered Jul 3, 2026 (534 days) · Other
T••••••••• F•••••••• A•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Nov 8, 2021, registered Jul 11, 2023 (610 days) · Other
V••••• I••••••••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• L••
left May 13, 2019, registered Apr 7, 2021 (695 days) · Other
T•• C••••• G••••• L•• to J••• G••••• L••
left Jan 29, 2007, registered Jun 27, 2006 (-216 days) · Other
J••• G••••• L•• to V••••• I••••••••• A•••••••• L••
left Jan 29, 2007, registered Sep 16, 2014 (2787 days) · Other

Signals

R•••••• R• D•••• left N••••••••• M••••• I••••••••• S••••••••• for L•• E••••••••• L•• (registered 2026-07-03)
Jan 15, 2025 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address