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
Brian Edward Hawley
Chartered Financial Analyst
Feed of 09/15/2026
Also filed as Brian E Hawley
At current firm
2 y
since Jan 30, 2024
In the industry
23 y
since May 1, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
n/a
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Freedom Investment Management, Inc. independent RIA currentsince Jan 30, 2024 · Shrewsbury, Ma
- 3d/L Capital Management, LLC formerMar 11, 2021 to Dec 21, 2023 · Hartford, Ct
- 3d Asset Management, Inc. formerJan 31, 2007 to Mar 31, 2021 · Northborough, Ma
Moves
a registration end followed by a registration begin elsewhere
- 3d/L Capital Management, LLC to Freedom Investment Management, Inc.left Dec 21, 2023, registered Jan 30, 2024 (40 days) · channel change inside one enterprise, not a move
- 3d Asset Management, Inc. to 3d/L Capital Management, LLCleft Mar 31, 2021, registered Mar 11, 2021 (-20 days) · RIA to RIA · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address