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

S••••• P•••••• B•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedBiddeford, Medual registrantIAPD 2332427

Feed of 09/14/2026

Also filed as S••••• Eileen P••••••

At current firm

2 y

since Apr 24, 2024

In the industry

24 y

since Nov 8, 2001 (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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Apr 24, 2024 · Biddeford, Me
O•• P••• A••••••• independent RIA
Mar 31, 2017 to Mar 8, 2024 · P•••Land, Me
C••••••••• F•••••••• N•••••• national BD
May 7, 2014 to Mar 8, 2016 · Kennebunk, Me
A••••••••• F•••••••• S•••••••• L•• national BD
May 29, 2013 to Jan 30, 2014 · Portland, Me
C••••••••• F•••••••• N•••••• national BD
Feb 23, 2012 to Jun 14, 2013 · Dobbs Ferry, Ny

Moves

a registration end followed by a registration begin elsewhere

O•• P••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 8, 2024, registered Apr 24, 2024 (47 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to O•• P••• A•••••••
left Mar 8, 2016, registered Mar 31, 2017 (388 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••
left Jan 30, 2014, registered May 7, 2014 (97 days) · Affiliated broker-dealer or bank to another
C••••••••• F•••••••• N•••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 14, 2013, registered May 29, 2013 (-16 days) · Affiliated broker-dealer or bank to another

Signals

S••••• P•••••• B••••• left O•• P••• A••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-04-24)
Mar 8, 2024 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address