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

A•• E•••••••• S•••••••••

C••••••••• F•••••••• N••••••national BDEast Longmeadow, Madual registrantIAPD 2248406

Feed of 09/14/2026

Also filed as Amy E S•••••••••

At current firm

8 y

since Aug 24, 2018

In the industry

33 y

since Dec 17, 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

C••••••••• F•••••••• N•••••• national BD current
since Aug 24, 2018 · East Longmeadow, Ma
U•• F•••••••• S••••••• I••• wirehouse
Apr 18, 2016 to Sep 4, 2018 · Springfield, Ma
S•• G•••••• I••••••••• M••••••••• independent RIA
Jan 10, 2011 to Jul 24, 2014 · Springfield, Ma
S•• G•••••• I••••••••• M••••••••• independent RIA
Oct 26, 2010 to Dec 31, 2010 · Springfield, Ma
S•• G•••••• S••••••••• I••• unclassified
Nov 10, 2008 to Oct 25, 2010 · Springfield, Ma

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••
left Sep 4, 2018, registered Aug 24, 2018 (-11 days) · Wirehouse to affiliated broker-dealer or bank
S•• G•••••• I••••••••• M••••••••• to U•• F•••••••• S••••••• I•••
left Jul 24, 2014, registered Apr 18, 2016 (634 days) · Other
S•• G•••••• S••••••••• I••• to S•• G•••••• I••••••••• M•••••••••
left Oct 25, 2010, registered Oct 26, 2010 (1 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: National broker-dealer RIAderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address