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

T••••• F•••••• N••

G•••••••• F•••••••• A•••••••• L••institutionalWakefield, Madual registrantIAPD 2049953

Feed of 09/14/2026

Also filed as T••••• Frances Nee

At current firm

3 y

since Jul 26, 2023

In the industry

36 y

since Jul 30, 1990 (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

G•••••••• F•••••••• A•••••••• L•• institutional current
since Jul 26, 2023 · Wakefield, Ma
F••••••• L•• former
Nov 7, 2017 to May 19, 2023 · Wakefield, Ma
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Oct 3, 2007 to Nov 10, 2017 · Wakefield, Ma
C•••••• P•••• R••••••••• P•••••••• I••• unclassified
Mar 5, 1997 to Sep 7, 2023 · Wakefield, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••• P•••• R••••••••• P•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Sep 7, 2023, registered Oct 3, 2007 (-5818 days) · Other · moved with a team
F••••••• L•• to G•••••••• F•••••••• A•••••••• L••
left May 19, 2023, registered Jul 26, 2023 (68 days) · Other · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F••••••• L••
left Nov 10, 2017, registered Nov 7, 2017 (-3 days) · Other · moved with a team

Signals

T••••• F•••••• N•• left C•••••• P•••• R••••••••• P•••••••• I••• for N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• (registered 2007-10-03)
Sep 7, 2023 · Advisor changed firm · fact
T••••• F•••••• N•• left F••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2023-07-26)
May 19, 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: Institutional managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address