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

S•••• R•••••• S••••

H•••••• I••• W••••• A•••••••independent RIABurlington, Vt dual registrantIAPD 2116968

Feed of 09/14/2026

At current firm

1 y

since Oct 10, 2024

In the industry

29 y

since Dec 24, 1996 (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

H•••••• I••• W••••• A••••••• independent RIA current
since Oct 10, 2024 · Wethersfield, Ct
F••••• N•••• F•••••• D•••••• I••••••••• independent RIA
Apr 1, 2024 to Apr 17, 2024 · Washington, Dc
H•••••• I••• W••••• A••••••• independent RIA
May 3, 2022 to Apr 1, 2024 · Wethersfield, Ct
E•• F•••••••• A••••••• independent RIA
Oct 26, 2016 to Apr 18, 2022 · Montpelier, Vt
S•••••••• S••••••••• BD affiliated
Jun 8, 2015 to Oct 14, 2016 · Boston, Ma
S••••••• I••••••••• I••• former
Nov 4, 2013 to May 27, 2015 · Boston, Ma
C••••••••• F•••••••• N•••••• national BD
Mar 14, 2011 to Oct 31, 2013 · Waltham, Ma
F••••••• S••••••••• unclassified
Aug 26, 2003 to Nov 20, 2003 · Newport Beach, Ca
C••••• U•••• B•••••••• S•••••••• I••• unclassified
Jan 7, 2003 to Aug 20, 2003 · Auburn, Ma

Moves

a registration end followed by a registration begin elsewhere

F••••• N•••• F•••••• D•••••• I••••••••• to H•••••• I••• W••••• A•••••••
left Apr 17, 2024, registered Oct 10, 2024 (176 days) · RIA to RIA
H•••••• I••• W••••• A••••••• to F••••• N•••• F•••••• D•••••• I•••••••••
left Apr 1, 2024, registered Apr 1, 2024 (0 days) · RIA to RIA
E•• F•••••••• A••••••• to H•••••• I••• W••••• A•••••••
left Apr 18, 2022, registered May 3, 2022 (15 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• S••••••••• to E•• F•••••••• A•••••••
left Oct 14, 2016, registered Oct 26, 2016 (12 days) · Other
S••••••• I••••••••• I••• to S•••••••• S•••••••••
left May 27, 2015, registered Jun 8, 2015 (12 days) · Other
C••••••••• F•••••••• N•••••• to S••••••• I••••••••• I•••
left Oct 31, 2013, registered Nov 4, 2013 (4 days) · Other
F••••••• S••••••••• to C••••••••• F•••••••• N••••••
left Nov 20, 2003, registered Mar 14, 2011 (2671 days) · Other
C••••• U•••• B•••••••• S•••••••• I••• to F••••••• S•••••••••
left Aug 20, 2003, registered Aug 26, 2003 (6 days) · Other

Signals

S•••• R•••••• S•••• left F••••• N•••• F•••••• D•••••• I••••••••• for H•••••• I••• W••••• A••••••• (registered 2024-10-10)
Apr 17, 2024 · Advisor changed firm · fact
S•••• R•••••• S•••• left H•••••• I••• W••••• A••••••• for F••••• N•••• F•••••• D•••••• I••••••••• (registered 2024-04-01)
Apr 1, 2024 · Advisor changed firm · fact
S•••• R•••••• S•••• left E•• F•••••••• A••••••• for H•••••• I••• W••••• A••••••• (registered 2022-05-03)
Apr 18, 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: Independent wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address