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
B•••••• A••• D••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B•••••• A••• Bruce
At current firm
1 y
since Mar 25, 2025
In the industry
28 y
since Aug 24, 1998 (earliest exam, job or registration)
Prior registered firms
11
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 25, 2025 · Hanover, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 11, 2020 to Dec 3, 2024 · Hingham, Ma
- M••••••• V••••••• I••••••••• A•••••••• L•• independent RIAMar 5, 2019 to Jun 10, 2020 · Falmouth, Ma
- L•• F•••••••• L•• BD affiliatedAug 15, 2016 to Jun 17, 2020 · West Tisbury, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 6, 2015 to Aug 4, 2016 · Marstons Mills, Ma
- O•••• I••••••••• I••• BD affiliatedFeb 6, 2012 to Mar 10, 2014 · Meriden, Ct
- C••••••• S••••••••• I••• BD affiliatedSep 3, 2008 to Jan 24, 2012 · Orleans, Ma
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Aug 25, 2008 · Cedarville, Ma
- I••• S••••••••• I••• unclassifiedAug 8, 2007 to May 27, 2008 · Plymouth, Ma
- L•• F•••••••• L•• BD affiliatedJan 18, 2007 to Jul 26, 2007 · Salem, Ma
- S•••••••• A••••••• L•• national BDApr 13, 2001 to Feb 16, 2005 · Boston, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedFeb 2, 2001 to Mar 28, 2007 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Dec 3, 2024, registered Mar 25, 2025 (112 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to M••••••• V••••••• I••••••••• A•••••••• L••left Jun 17, 2020, registered Mar 5, 2019 (-470 days) · Other
- M••••••• V••••••• I••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 10, 2020, registered Aug 11, 2020 (62 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 4, 2016, registered Aug 15, 2016 (11 days) · Other
- O•••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 10, 2014, registered May 6, 2015 (422 days) · Other
- C••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jan 24, 2012, registered Feb 6, 2012 (13 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Aug 25, 2008, registered Sep 3, 2008 (9 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
- L•• F•••••••• L•• to I••• S••••••••• I•••left Jul 26, 2007, registered Aug 8, 2007 (13 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••left Mar 28, 2007, registered Apr 13, 2001 (-2175 days) · Other
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Feb 16, 2005, registered Jan 18, 2007 (701 days) · Other
Signals
- B•••••• A••• D•••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• F•••••••• L•• (registered 2025-03-25)Dec 3, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address