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

A••••• A••••• S••••

O•••• I••••••••• I•••BD affiliatedRoslindale, Ma dual registrantIAPD 2213278

Feed of 09/15/2026

Also filed as A••••• A••••• S••••

At current firm

2 y

since Jan 4, 2024

In the industry

33 y

since Sep 17, 1993 (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

O•••• I••••••••• I••• BD affiliated current
since Jan 4, 2024 · Roslindale, Ma
O•••• I••••••••• I••• BD affiliated
Mar 26, 2018 to Sep 14, 2023 · Braintree, Ma
S•••••••• S••••••••• BD affiliated
Sep 19, 2012 to Mar 15, 2018 · Kingston, Ma
L•• F•••••••• L•• BD affiliated
May 27, 2008 to Sep 19, 2012 · Duxbury, Ma
I••• S••••••••• I••• unclassified
Jul 29, 2004 to May 27, 2008 · Mattapan, Ma
O•••• I••••••••• I••• BD affiliated
Sep 24, 2001 to Jul 23, 2004 · Kingston, Ma

Moves

a registration end followed by a registration begin elsewhere

S•••••••• S••••••••• to O•••• I••••••••• I•••
left Mar 15, 2018, registered Mar 26, 2018 (11 days) · Other
L•• F•••••••• L•• to S•••••••• S•••••••••
left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
I••• S••••••••• I••• to L•• F•••••••• L••
left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
O•••• I••••••••• I••• to I••• S••••••••• I•••
left Jul 23, 2004, registered Jul 29, 2004 (6 days) · Other

Signals

No dated event on this person.

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