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••••• D• M•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseChandler, Az dual registrantIAPD 2221236

Feed of 09/14/2026

At current firm

3 y

since Oct 27, 2022

In the industry

34 y

since May 29, 1992 (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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Oct 27, 2022 · Chandler, Az
C••••••• S••••••••• I••• BD affiliated
Feb 17, 2022 to Sep 20, 2022 · Hudson, Ma
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 6, 2021 to Feb 23, 2022 · Milford, Ma
Q•••• C•••••• S••••••••• I••• former
Aug 23, 2018 to Oct 23, 2019 · Waltham, Ma
L•••••• I••••••••• independent RIA
Aug 18, 2015 to Aug 29, 2016 · Waltham, Ma
V••• F•••••••• A•••••••• I••• BD affiliated
Feb 6, 2012 to Mar 6, 2014 · Braintree, Ma
M••••• S•••••• wirehouse
Jun 16, 2010 to Sep 7, 2011 · Waltham, Ma
V••• F•••••••• P•••••••• L•• former
Feb 18, 2005 to Mar 18, 2008 · Waltham, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 20, 2022, registered Oct 27, 2022 (37 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••• S••••••••• I•••
left Feb 23, 2022, registered Feb 17, 2022 (-6 days) · Affiliated broker-dealer or bank to another
Q•••• C•••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 23, 2019, registered Oct 6, 2021 (714 days) · RIA to affiliated broker-dealer or bank
L•••••• I••••••••• to Q•••• C•••••• S••••••••• I•••
left Aug 29, 2016, registered Aug 23, 2018 (724 days) · Other
V••• F•••••••• A•••••••• I••• to L•••••• I•••••••••
left Mar 6, 2014, registered Aug 18, 2015 (530 days) · Other
M••••• S•••••• to V••• F•••••••• A•••••••• I•••
left Sep 7, 2011, registered Feb 6, 2012 (152 days) · Other
V••• F•••••••• P•••••••• L•• to M••••• S••••••
left Mar 18, 2008, registered Jun 16, 2010 (820 days) · Other

Signals

D••••• D• M••••• left C••••••• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-27)
Sep 20, 2022 · Advisor changed firm · fact
D••••• D• M••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••••• S••••••••• I••• (registered 2022-02-17)
Feb 23, 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: Wirehousederived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address