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••••••••• B•••••• A•••

N•• E••• W•••••BD affiliatedPortsmouth, Nh dual registrantIAPD 3187634

Feed of 09/14/2026

At current firm

1 y

since Nov 26, 2024

In the industry

27 y

since Apr 26, 1999 (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

N•• E••• W••••• BD affiliated current
since Nov 26, 2024 · Portsmouth, Nh
P••••• C•••••• A•••••••• L•• independent RIA
Nov 18, 2020 to Nov 6, 2024 · Portsmouth, Nh
N•••••• A••••••• BD affiliated
Jan 24, 2020 to Dec 8, 2020 · Portsmouth, Nh
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 8, 2016 to Jan 31, 2020 · Portsmouth, Nh
U•• F•••••••• S••••••• I••• wirehouse
Aug 29, 2008 to Jan 19, 2016 · Portsmouth, Nh
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 30, 2004 to Sep 9, 2008 · Portsmouth, Nh
M••••• S•••••• D• I••• unclassified
Jul 2, 1999 to May 4, 2004 · Portsmouth, Nh

Moves

a registration end followed by a registration begin elsewhere

P••••• C•••••• A•••••••• L•• to N•• E••• W•••••
left Nov 6, 2024, registered Nov 26, 2024 (20 days) · RIA to affiliated broker-dealer or bank
N•••••• A••••••• to P••••• C•••••• A•••••••• L••
left Dec 8, 2020, registered Nov 18, 2020 (-20 days) · RIA to a newly registered adviser · moved with a team
A••••••••• F•••••••• S•••••••• L•• to N•••••• A•••••••
left Jan 31, 2020, registered Jan 24, 2020 (-7 days) · Affiliated broker-dealer or bank to independent RIA
U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Jan 19, 2016, registered Jan 8, 2016 (-11 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Sep 9, 2008, registered Aug 29, 2008 (-11 days) · Other
M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••
left May 4, 2004, registered Apr 30, 2004 (-4 days) · Other

Signals

C••••••••• B•••••• A••• left P••••• C•••••• A•••••••• L•• for N•• E••• W••••• (registered 2024-11-26)
Nov 6, 2024 · 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: 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