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.

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Registered advisor

F•••••••• J•••• G•••••

M•• I•••••••• S•••••••• L••BD affiliatedWest Roxbury, Ma dual registrantIAPD 2136091

Feed of 09/15/2026

Also filed as Frederick James III Gillis

At current firm

3 y

since Sep 1, 2023

In the industry

30 y

since Feb 9, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• I•••••••• S•••••••• L•• BD affiliated current
since Sep 1, 2023 · West Roxbury, Ma
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 22, 2018 to Aug 31, 2023 · Roslindale, Ma
I••••••••• P••••••••• I••• former
Mar 6, 2017 to Sep 24, 2018 · San Antonio, Tx
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Mar 6, 2017 · Boston, Ma
A• G• E•••••• • S•••• I••• unclassified
Mar 31, 2004 to Jan 1, 2008 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
left Aug 31, 2023, registered Sep 1, 2023 (1 days) · Affiliated broker-dealer or bank to another
I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to I••••••••• P••••••••• I•••
left Mar 6, 2017, registered Mar 6, 2017 (0 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

F•••••••• J•••• G••••• left A••••••••• F•••••••• S•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-09-01)
Aug 31, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address