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
R•••••• F•••• P••••••••
Feed of 09/14/2026
Also filed as R•••••• F•••• P••••••••
At current firm
3 y
since Jul 21, 2023
In the industry
42 y
since Jan 18, 1984 (earliest exam, job or registration)
Prior registered firms
11
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- A•••• C•••••• C•••• BD affiliated currentsince Jul 21, 2023 · Melville, Ny
- P•• W••••• formerApr 25, 2023 to Jun 2, 2023 · North Reading, Ma
- N••• C••••••••• BD affiliatedApr 5, 2023 to Apr 17, 2023 · Windham, Nh
- S••••••••• A•••••• A•••••••• I••• formerApr 23, 2021 to Mar 9, 2023 · Salem, Nh
- L•• F•••••••• L•• BD affiliatedJul 25, 2018 to May 21, 2021 · Woburn, Ma
- C••••• A••••••• L•• formerOct 3, 2016 to Jul 27, 2018 · Woburn, Ma
- I•••••••• C•••••• A••••••• formerJan 26, 2015 to Oct 3, 2016 · Woburn, Ma
- S••••••• I••••••••• I••• formerMar 20, 2013 to Feb 3, 2015 · Westborough, Ma
- C••••••• • C••• I••• formerApr 9, 2010 to Mar 25, 2011 · Woburn, Ma
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Mar 11, 2010 · Wellesley, Ma
- C••••• I••••••••• S••••••• L•• formerNov 7, 2007 to Nov 17, 2009 · Lexington, Ma
- J•••• • L••••• S••••••••• C••• unclassifiedAug 31, 2004 to Apr 24, 2006 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• to A•••• C•••••• C••••left Jun 2, 2023, registered Jul 21, 2023 (49 days) · RIA to affiliated broker-dealer or bank
- N••• C••••••••• to P•• W•••••left Apr 17, 2023, registered Apr 25, 2023 (8 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••••• A•••••• A•••••••• I••• to N••• C•••••••••left Mar 9, 2023, registered Apr 5, 2023 (27 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left May 21, 2021, registered Apr 23, 2021 (-28 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to L•• F•••••••• L••left Jul 27, 2018, registered Jul 25, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••• I••••••••• I••• to I•••••••• C•••••• A•••••••left Feb 3, 2015, registered Jan 26, 2015 (-8 days) · Other
- C••••••• • C••• I••• to S••••••• I••••••••• I•••left Mar 25, 2011, registered Mar 20, 2013 (726 days) · Other
- T• W••••• M••••••••• S••••••• I••• to C••••••• • C••• I•••left Mar 11, 2010, registered Apr 9, 2010 (29 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
- J•••• • L••••• S••••••••• C••• to C••••• I••••••••• S••••••• L••left Apr 24, 2006, registered Nov 7, 2007 (562 days) · Other
Signals
- R•••••• F•••• P•••••••• left P•• W••••• for A•••• C•••••• C•••• (registered 2023-07-21)Jun 2, 2023 · Advisor changed firm · fact
- R•••••• F•••• P•••••••• left N••• C••••••••• for P•• W••••• (registered 2023-04-25)Apr 17, 2023 · Advisor changed firm · fact
- R•••••• F•••• P•••••••• left S••••••••• A•••••• A•••••••• I••• for N••• C••••••••• (registered 2023-04-05)Mar 9, 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address