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

M••• C• W•••

J••• M••••• S••••••••• L••wirehouseHadley, Ma dual registrantIAPD 2398977

Feed of 09/15/2026

Also filed as M••• C• W•••

At current firm

3 y

since Oct 26, 2022

In the industry

28 y

since Jul 9, 1998 (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

J••• M••••• S••••••••• L•• wirehouse current
since Oct 26, 2022 · Hudson, Ma
C••••••• S••••••••• I••• BD affiliated
Apr 12, 2017 to Oct 14, 2022 · Smithfield, Ri
S•••••••• S••••••••• BD affiliated
Oct 17, 2012 to Apr 5, 2017 · Worcester, Ma
C••••••• S••••••••• I••• BD affiliated
Oct 23, 2008 to Oct 9, 2012 · Allston, Ma
L•• F•••••••• L•• BD affiliated
May 27, 2008 to Oct 10, 2008 · Shippensburg, Pa
I••• S••••••••• I••• unclassified
Sep 16, 2002 to May 27, 2008 · Hagerstown, Md

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Oct 14, 2022, registered Oct 26, 2022 (12 days) · Affiliated broker-dealer or bank to wirehouse
S•••••••• S••••••••• to C••••••• S••••••••• I•••
left Apr 5, 2017, registered Apr 12, 2017 (7 days) · Other
C••••••• S••••••••• I••• to S•••••••• S•••••••••
left Oct 9, 2012, registered Oct 17, 2012 (8 days) · Other
L•• F•••••••• L•• to C••••••• S••••••••• I•••
left Oct 10, 2008, registered Oct 23, 2008 (13 days) · Other
I••• S••••••••• I••• to L•• F•••••••• L••
left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move

Signals

M••• C• W••• left C••••••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-10-26)
Oct 14, 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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address