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••••••• M•••• C•••••

O•••• W•••••• I•••BD affiliatedNorth Kingstown, Ri dual registrantIAPD 2101515

Feed of 09/14/2026

Also filed as Patty C•••••

At current firm

3 y

since Sep 1, 2023

In the industry

33 y

since Feb 17, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Sep 1, 2023 · North Kingstown, Ri
S•••••••• F••••••••• I••• former
Nov 1, 2022 to Sep 1, 2023 · Braintree, Ma
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jun 5, 2014 to Nov 4, 2022 · North Providence, Ri
L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated
Feb 5, 2014 to May 12, 2014 · Greenville, Ri
C••••••• S••••••••• I••• BD affiliated
May 10, 2006 to Aug 12, 2010 · Smithfield, Ri
S•••••••• A••••••• L•• national BD
Jan 5, 2000 to Aug 1, 2005 · Smithfield, Ri

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• F••••••••• I•••
left Nov 4, 2022, registered Nov 1, 2022 (-3 days) · Affiliated broker-dealer or bank to another
L•••••• S•• I••••••••• A•••••••• L••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 12, 2014, registered Jun 5, 2014 (24 days) · Other
C••••••• S••••••••• I••• to L•••••• S•• I••••••••• A•••••••• L•••••
left Aug 12, 2010, registered Feb 5, 2014 (1273 days) · Other
S•••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Aug 1, 2005, registered May 10, 2006 (282 days) · Other

Signals

P••••••• M•••• C••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S•••••••• F••••••••• I••• (registered 2022-11-01)
Nov 4, 2022 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address