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

P••• T•••••• R••••

I•••••••• A•••••••• L••BD affiliatedScituate, Ma dual registrantIAPD 2393815

Feed of 09/14/2026

Also filed as P••• R••••

At current firm

3 y

since Dec 21, 2022

In the industry

32 y

since Oct 4, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•••••••• A•••••••• L•• BD affiliated current
since Dec 21, 2022 · Scituate, Ma
C•••••• A••••••• BD affiliated
Nov 21, 2019 to Dec 8, 2022 · Scitvate, Ma
L•••••• I••••••••• independent RIA
Nov 21, 2019 to Dec 31, 2021 · Scituate, Ma
S••••••••• A•••••• A•••••••• I••• former
Apr 15, 2016 to Nov 11, 2019 · Scituate, Ma
B••• S••••••••• L•• former
Jan 2, 2013 to Apr 2, 2014 · Boston, Ma
S•••• • S••••••••• L•• former
Nov 17, 2004 to Jan 2, 2013 · Boston, Ma
C••••••••• F•••••••• N•••••• national BD
Dec 1, 1999 to Dec 31, 2003 · Hanover, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to I•••••••• A•••••••• L••
left Dec 8, 2022, registered Dec 21, 2022 (13 days) · Affiliated broker-dealer or bank to independent RIA
L•••••• I••••••••• to C•••••• A•••••••
left Dec 31, 2021, registered Nov 21, 2019 (-771 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to L•••••• I•••••••••
left Nov 11, 2019, registered Nov 21, 2019 (10 days) · Affiliated broker-dealer or bank to another
B••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Apr 2, 2014, registered Apr 15, 2016 (744 days) · Other
S•••• • S••••••••• L•• to B••• S••••••••• L••
left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
C••••••••• F•••••••• N•••••• to S•••• • S••••••••• L••
left Dec 31, 2003, registered Nov 17, 2004 (322 days) · Other

Signals

P••• T•••••• R•••• left C•••••• A••••••• for I•••••••• A•••••••• L•• (registered 2022-12-21)
Dec 8, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address