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

P•••• T••••• F•••••••••

L•• F•••••••• L••BD affiliatedLunenburg, Madual registrantIAPD 2075476

Feed of 09/14/2026

At current firm

1 y

since May 15, 2025

In the industry

25 y

since Nov 25, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Lunenburg, Ma
C••• F•••••••• S•••••••• L••• former
May 9, 2024 to May 15, 2025 · Lunenburg, Ma
O•••• F•• I••• former
May 6, 2021 to May 1, 2024 · Greensboro, Nc
E••••• J•••• national BD
Jul 19, 2010 to Mar 24, 2021 · Shirley, Ma
P••••• I••••••••• M••••••••• L•• asset manager
Feb 1, 2008 to Feb 18, 2009 · Andover, Ma
P••••• I••••••••• M••••••••• L•• asset manager
Oct 11, 2006 to Jan 29, 2008 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
O•••• F•• I••• to C••• F•••••••• S•••••••• L•••
left May 1, 2024, registered May 9, 2024 (8 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to O•••• F•• I•••
left Mar 24, 2021, registered May 6, 2021 (43 days) · Affiliated broker-dealer or bank to another
P••••• I••••••••• M••••••••• L•• to E••••• J••••
left Feb 18, 2009, registered Jul 19, 2010 (516 days) · Other

Signals

P•••• T••••• F••••••••• left O•••• F•• I••• for C••• F•••••••• S•••••••• L••• (registered 2024-05-09)
May 1, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address