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

D•••• C••••••••• S••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedBeverly, Madual registrantIAPD 3132841

Certified Financial Planner

Feed of 09/14/2026

Also filed as D•••• C••••••••• S••••

At current firm

5 y

since Dec 9, 2020

In the industry

27 y

since Feb 23, 1999 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Dec 9, 2020 · Beverly, Ma
S••••••••• A•••••• A•••••••• I••• former
Nov 6, 2020 to Dec 8, 2020 · La Vista, Ne
K•• F•••••••• S•••••••• I•• former
Nov 8, 2016 to Nov 6, 2020 · Beverly, Ma
I•••••••• C•••••• A••••••• former
Apr 3, 2006 to Sep 1, 2016 · Gilford, Nh
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Mar 31, 2006 · C••••••••, Ma
Q•••• • R•••••• I••• unclassified
Jul 29, 2003 to Oct 20, 2004 · C••••••••, Ma

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 8, 2020, registered Dec 9, 2020 (1 days) · Affiliated broker-dealer or bank to another
K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
I•••••••• C•••••• A••••••• to K•• F•••••••• S•••••••• I••
left Sep 1, 2016, registered Nov 8, 2016 (68 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to I•••••••• C•••••• A•••••••
left Mar 31, 2006, registered Apr 3, 2006 (3 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address