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••••• L••••• D••••••••

V••••••• C•••••• A•••••••• L••independent RIAConcord, Ma IA-onlyIAPD 2089964

Feed of 09/15/2026

At current firm

1 y

since Jan 6, 2025

In the industry

35 y

since Nov 19, 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

V••••••• C•••••• A•••••••• L•• independent RIA current
since Jan 6, 2025 · Concord, Ma
G•••••••• C•••••• A••••••• independent RIA
Sep 9, 2015 to Jun 25, 2024 · Marlborough, Ma
V•••• C••••••• L•• former
Oct 21, 2010 to Aug 14, 2015 · Waltham, Ma
P•••••••• I••••••••• M••••••••• C••••••• I••• independent RIA
Sep 19, 2008 to Oct 14, 2010 · Boston, Ma
C••••• I••••••••• S••••••• L•• former
Dec 17, 2007 to Apr 22, 2008 · Andover, Ma
C••••••••• F•••••••• N•••••• national BD
Apr 6, 1997 to Dec 31, 2005 · Princeton, Ma

Moves

a registration end followed by a registration begin elsewhere

G•••••••• C•••••• A••••••• to V••••••• C•••••• A•••••••• L••
left Jun 25, 2024, registered Jan 6, 2025 (195 days) · RIA to RIA
V•••• C••••••• L•• to G•••••••• C•••••• A•••••••
left Aug 14, 2015, registered Sep 9, 2015 (26 days) · Other
P•••••••• I••••••••• M••••••••• C••••••• I••• to V•••• C••••••• L••
left Oct 14, 2010, registered Oct 21, 2010 (7 days) · Other
C••••• I••••••••• S••••••• L•• to P•••••••• I••••••••• M••••••••• C••••••• I•••
left Apr 22, 2008, registered Sep 19, 2008 (150 days) · Other
C••••••••• F•••••••• N•••••• to C••••• I••••••••• S••••••• L••
left Dec 31, 2005, registered Dec 17, 2007 (716 days) · Other

Signals

D••••• L••••• D•••••••• left G•••••••• C•••••• A••••••• for V••••••• C•••••• A•••••••• L•• (registered 2025-01-06)
Jun 25, 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address