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

D••••• S•••• C••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNorthfield, Madual registrantIAPD 2628356

Feed of 09/14/2026

Also filed as D••••• S•••• C••••••

At current firm

8 y

since Feb 20, 2018

In the industry

31 y

since Sep 8, 1995 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Feb 20, 2018 · Northfield, Ma
C••••• A••••••• L•• former
Oct 3, 2016 to Feb 26, 2018 · Northfield, Ma
I•••••••• C•••••• A••••••• former
Aug 22, 2012 to Oct 3, 2016 · Lynnfield, Ma
S•••••••• F••••••••• I••• former
Dec 8, 2005 to Aug 24, 2012 · Johnston, Ri
M••••• S•••••• C••••••••• unclassified
Jan 24, 2003 to Dec 12, 2005 · Keene, Nh
E•••••• P•••• A••••••• I••• unclassified
Nov 19, 2002 to Dec 18, 2002 · Keene, Nh

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 26, 2018, registered Feb 20, 2018 (-6 days) · Other
I•••••••• C•••••• A••••••• to C••••• A••••••• L••
left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• F••••••••• I••• to I•••••••• C•••••• A•••••••
left Aug 24, 2012, registered Aug 22, 2012 (-2 days) · Other
M••••• S•••••• C••••••••• to S•••••••• F••••••••• I•••
left Dec 12, 2005, registered Dec 8, 2005 (-4 days) · Other
E•••••• P•••• A••••••• I••• to M••••• S•••••• C•••••••••
left Dec 18, 2002, registered Jan 24, 2003 (37 days) · Other

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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address