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

C••• L•••••••••

E••••• J••••national BDMeredith, Nhdual registrantIAPD 3044736

Feed of 09/14/2026

Also filed as C••• Ann L•••••••••

At current firm

3 y

since Nov 18, 2022

In the industry

24 y

since Feb 14, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Nov 18, 2022 · Meredith, Nh
C••••••• S••••••••• I••• BD affiliated
Dec 2, 2021 to Nov 16, 2022 · Nashua, Nh
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 31, 2020 to Nov 18, 2021 · Nashua, Nh
M••••• S•••••• wirehouse
Jul 26, 2018 to Apr 7, 2020 · Naples, Fl
I•••••• C•••••• A••••••• former
Aug 4, 2017 to Jul 2, 2018 · Naples, Fl
W•••• F•••• A••••••• wirehouse
Sep 28, 2016 to Apr 25, 2017 · Naples, Fl
V•••• F•••••••• A•••••••• I••• BD affiliated
Feb 15, 2016 to Oct 5, 2016 · Tampa, Fl
S•••••••• A••••••• L•• national BD
Aug 22, 2011 to Jan 29, 2016 · Naples, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to E••••• J••••
left Nov 16, 2022, registered Nov 18, 2022 (2 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to C••••••• S••••••••• I•••
left Nov 18, 2021, registered Dec 2, 2021 (14 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 7, 2020, registered Jul 31, 2020 (115 days) · Wirehouse to affiliated broker-dealer or bank
I•••••• C•••••• A••••••• to M••••• S••••••
left Jul 2, 2018, registered Jul 26, 2018 (24 days) · RIA to wirehouse
W•••• F•••• A••••••• to I•••••• C•••••• A•••••••
left Apr 25, 2017, registered Aug 4, 2017 (101 days) · Other
V•••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••
left Oct 5, 2016, registered Sep 28, 2016 (-7 days) · Other
S•••••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Jan 29, 2016, registered Feb 15, 2016 (17 days) · Other

Signals

C••• L••••••••• left C••••••• S••••••••• I••• for E••••• J•••• (registered 2022-11-18)
Nov 16, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address