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

D••••• R••••• G•••••

L•• E••••••••• L••BD affiliatedDover, Nhdual registrantIAPD 2346176

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as D••••• R••••• G•••••

At current firm

1 y

since Nov 14, 2024

In the industry

33 y

since Jun 7, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Dover, Nh
P•••• S••••••••• L•• no RAUM
May 21, 2019 to Nov 14, 2024 · Dover, Nh
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to May 16, 2019 · Dover, Nh
M•••••• independent RIA
Jun 20, 2016 to Feb 1, 2018 · Dover, Nh
M•• F•••••••• S•••••••• I••• former
May 7, 2001 to Mar 25, 2017 · Dover, Nh

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••
left May 16, 2019, registered May 21, 2019 (5 days) · Affiliated broker-dealer or bank to another
M•••••• to M•• I•••••••• S•••••••• L••
left Feb 1, 2018, registered Mar 25, 2017 (-313 days) · corporate re-registration, not a move
M•• F•••••••• S•••••••• I••• to M••••••
left Mar 25, 2017, registered Jun 20, 2016 (-278 days) · Other · moved with a team

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