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

D••••• M•• F••••

M•• I•••••••• S•••••••• L••BD affiliatedRowley, Ma dual registrantIAPD 1732675

Feed of 09/14/2026

Also filed as D••••• M•• F••••

At current firm

2 y

since Mar 25, 2024

In the industry

26 y

since Sep 22, 1999 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Mar 25, 2024 · Rowley, Ma
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 19, 2021 to Apr 2, 2024 · Cornelius, Nc
M•••••••• F••••••• • F•••• I••••••••• A•••••••• I••• independent RIA
Jul 18, 2017 to Nov 24, 2020 · Orleans, Ma
W•••• F•••• A••••••• wirehouse
Oct 28, 2015 to Jun 2, 2017 · Hyannis, Ma
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 22, 2015 · Hyannis, Ma
M••••• S•••••• • C•• L•• unclassified
Oct 21, 2008 to Jun 1, 2009 · Hyannis, Ma
K••••• A•••••••• I••• BD affiliated
Oct 27, 2006 to Oct 3, 2008 · Ft. Lauderdale, Fl

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•• I•••••••• S•••••••• L••
left Apr 2, 2024, registered Mar 25, 2024 (-8 days) · Affiliated broker-dealer or bank to another
M•••••••• F••••••• • F•••• I••••••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Nov 24, 2020, registered Jan 19, 2021 (56 days) · Other
W•••• F•••• A••••••• to M•••••••• F••••••• • F•••• I••••••••• A•••••••• I•••
left Jun 2, 2017, registered Jul 18, 2017 (46 days) · Other
M••••• S•••••• to W•••• F•••• A•••••••
left Apr 22, 2015, registered Oct 28, 2015 (189 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
K••••• A•••••••• I••• to M••••• S•••••• • C•• L••
left Oct 3, 2008, registered Oct 21, 2008 (18 days) · Other

Signals

D••••• M•• F•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M•• I•••••••• S•••••••• L•• (registered 2024-03-25)
Apr 2, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address