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.

Registered advisor

Neil Kevin Flaherty

Newedge AdvisorsBD affiliatedNew Orleans, La IA-onlyIAPD 2917320

Certified Financial Planner

Feed of 09/15/2026

Also filed as Neil Flaherty

At current firm

3 y

since Mar 31, 2023

In the industry

28 y

since Jul 1, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Newedge Advisors BD affiliated current
since Mar 31, 2023 · New Orleans, La
Cambridge Investment Research Advisors, Inc. BD affiliated
Nov 5, 2020 to Apr 6, 2023 · Laconia, Nh
The Foundry Financial Group, Inc. independent RIA
Nov 4, 2020 to Apr 19, 2023 · Durham, Nh
Advice And Planning Services BD affiliated
Feb 22, 2012 to Nov 13, 2020 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

The Foundry Financial Group, Inc. to Cambridge Investment Research Advisors, Inc.
left Apr 19, 2023, registered Nov 5, 2020 (-895 days) · Other
Cambridge Investment Research Advisors, Inc. to Newedge Advisors
left Apr 6, 2023, registered Mar 31, 2023 (-6 days) · Affiliated broker-dealer or bank to another
Advice And Planning Services to The Foundry Financial Group, Inc.
left Nov 13, 2020, registered Nov 4, 2020 (-9 days) · Other

Signals

Neil Kevin Flaherty left The Foundry Financial Group, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2020-11-05)
Apr 19, 2023 · Advisor changed firm · fact
Neil Kevin Flaherty left Cambridge Investment Research Advisors, Inc. for Newedge Advisors (registered 2023-03-31)
Apr 6, 2023 · 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