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

S•••• E••• M•••

C••••••••• F•••••••• N••••••national BDNorth Falmouth, Madual registrantIAPD 2940887

Feed of 09/14/2026

Also filed as S•••• M•••

At current firm

4 y

since Aug 19, 2022

In the industry

28 y

since Oct 17, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Aug 19, 2022 · North Falmouth, Ma
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Aug 19, 2022 · Beverly, Ma
V••• F•••••••• A•••••••• I••• BD affiliated
Dec 16, 2010 to Jun 9, 2021 · Cataumet, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 21, 2005 to Nov 30, 2010 · Hyannis, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to C••••••••• F•••••••• N••••••
left Aug 19, 2022, registered Aug 19, 2022 (0 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••
left Nov 30, 2010, registered Dec 16, 2010 (16 days) · Other

Signals

S•••• E••• M••• left C••••• A•••••• N••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-08-19)
Aug 19, 2022 · a•••••• firm change · 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