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•••••• L•••

C••••••• S••••••••• I•••BD affiliatedAlbany, Ny dual registrantIAPD 2263347

Certified Financial Planner

Feed of 09/15/2026

Also filed as Tony L•••

At current firm

4 y

since Sep 9, 2022

In the industry

28 y

since Mar 21, 1998 (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

C••••••• S••••••••• I••• BD affiliated current
since Sep 9, 2022 · Albany, Ny
S••••••• P•••••• A•••••••• L••• institutional
Apr 12, 2022 to Jun 10, 2022 · Wakefield, Ma
O••••• I••••••••• A••••••• L•• independent RIA
Apr 12, 2022 to May 4, 2022 · Walploe, Ma
E•••••• F•••••••• E•••••• independent RIA
Sep 20, 2017 to Dec 16, 2019 · Boston, Ma
V••• F•••••••• A•••••••• I••• BD affiliated
Mar 12, 2013 to Aug 29, 2017 · Braintree, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 24, 2010 to Sep 14, 2010 · Pennington, Nj
A••••••• A••••••• S••••••• former
Oct 29, 2008 to Mar 20, 2009 · Providence, Ri
F•••••••• A••••••• G•••• L••••• independent RIA
Dec 18, 2007 to Aug 21, 2008 · Wellesley, Ma
S•• I••••••••• I••• former
Aug 15, 2007 to Dec 11, 2007 · Westborough, Ma
D••• M•••• M••••••••• I•• unclassified
Nov 6, 2006 to May 10, 2007 · Williamstown, Ma
W••• D••••••• • C••• I•• former
Dec 5, 1998 to Apr 4, 2006 · Natick, Ma

Moves

a registration end followed by a registration begin elsewhere

S••••••• P•••••• A•••••••• L••• to C••••••• S••••••••• I•••
left Jun 10, 2022, registered Sep 9, 2022 (91 days) · Other
O••••• I••••••••• A••••••• L•• to S••••••• P•••••• A•••••••• L•••
left May 4, 2022, registered Apr 12, 2022 (-22 days) · Other
E•••••• F•••••••• E•••••• to O••••• I••••••••• A••••••• L••
left Dec 16, 2019, registered Apr 12, 2022 (848 days) · RIA to RIA
V••• F•••••••• A•••••••• I••• to E•••••• F•••••••• E••••••
left Aug 29, 2017, registered Sep 20, 2017 (22 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••
left Sep 14, 2010, registered Mar 12, 2013 (910 days) · Other
A••••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 20, 2009, registered May 24, 2010 (430 days) · Other
F•••••••• A••••••• G•••• L••••• to A••••••• A••••••• S•••••••
left Aug 21, 2008, registered Oct 29, 2008 (69 days) · Other
S•• I••••••••• I••• to F•••••••• A••••••• G•••• L•••••
left Dec 11, 2007, registered Dec 18, 2007 (7 days) · Other
D••• M•••• M••••••••• I•• to S•• I••••••••• I•••
left May 10, 2007, registered Aug 15, 2007 (97 days) · Other
W••• D••••••• • C••• I•• to D••• M•••• M••••••••• I••
left Apr 4, 2006, registered Nov 6, 2006 (216 days) · Other

Signals

A•••••• L••• left S••••••• P•••••• A•••••••• L••• for C••••••• S••••••••• I••• (registered 2022-09-09)
Jun 10, 2022 · Advisor changed firm · fact
A•••••• L••• left O••••• I••••••••• A••••••• L•• for S••••••• P•••••• A•••••••• L••• (registered 2022-04-12)
May 4, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address