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

J••••• P••• C••••••••

C•••••• S••••• • C••• I•••national BDPlymouth, Madual registrantIAPD 2921789

Feed of 09/14/2026

Also filed as J••••• C••••••••

At current firm

0 y

since Jan 2, 2026

In the industry

28 y

since Oct 16, 1997 (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•••••• S••••• • C••• I••• national BD current
since Jan 2, 2026 · Plymouth, Ma
E•••••• A••••••• G••••• L•• BD affiliated
Jun 24, 2021 to Aug 25, 2025 · Greenwood Village, Co
S••••••••• W••••• mixed wealth
Apr 7, 2020 to Apr 6, 2021 · Summit, Nj
C••••••• S••••••••• I••• BD affiliated
Apr 12, 2017 to Apr 11, 2018 · Cambridge, Ma
A••••• A•• P••••••• S••••••• BD affiliated
Apr 13, 2015 to Apr 14, 2017 · Waltham, Ma
S•••••••• S••••••••• BD affiliated
Jan 22, 2015 to Mar 25, 2015 · Marshfield, Ma

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to C•••••• S••••• • C••• I•••
left Aug 25, 2025, registered Jan 2, 2026 (130 days) · Affiliated broker-dealer or bank to another
S••••••••• W••••• to E•••••• A••••••• G••••• L••
left Apr 6, 2021, registered Jun 24, 2021 (79 days) · Other
C••••••• S••••••••• I••• to S••••••••• W•••••
left Apr 11, 2018, registered Apr 7, 2020 (727 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to C••••••• S••••••••• I•••
left Apr 14, 2017, registered Apr 12, 2017 (-2 days) · Other
S•••••••• S••••••••• to A••••• A•• P••••••• S•••••••
left Mar 25, 2015, registered Apr 13, 2015 (19 days) · Other

Signals

J••••• P••• C•••••••• left E•••••• A••••••• G••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-01-02)
Aug 25, 2025 · 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: National broker-dealer RIAderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address