DFX Intelligence
RIA Intelligence
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Registered advisor
A••• P• M••••••
Feed of 09/14/2026
At current firm
21 y
since Dec 16, 2004
In the industry
28 y
since Feb 12, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• W••••• M••••••••• state registered currentsince Jan 4, 2006 · Boothbay Harbor, Me
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2004 · Boothbay Harbor, Me
- P•••• S••••••••• L•• no RAUMFeb 28, 2003 to Dec 16, 2004 · Boothbay, Me
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• F•••••••• L••left Dec 16, 2004, registered Dec 16, 2004 (0 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address