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.
Feed of 09/15/2026
At current firm
6 y
since May 14, 2020
In the industry
24 y
since Oct 19, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Nfsg Corporation BD affiliated currentsince May 14, 2020 · Boca Raton, Fl
- Cambridge Investment Research Advisors, Inc. BD affiliatedJan 3, 2013 to Dec 24, 2019 · Wrentham, Ma
- Cambridge Investment Research Advisors, Inc. BD affiliatedJul 21, 2010 to Dec 31, 2012 · Wrentham, Ma
- LPL Financial LLC BD affiliatedAug 4, 2006 to Jul 21, 2010 · Wrentham, Ma
- Commonwealth Financial Network national BDOct 19, 2001 to Nov 6, 2002 · Wrentham, Ma
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to Nfsg Corporationleft Dec 24, 2019, registered May 14, 2020 (142 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Cambridge Investment Research Advisors, Inc.left Jul 21, 2010, registered Jul 21, 2010 (0 days) · Other
- Commonwealth Financial Network to LPL Financial LLCleft Nov 6, 2002, registered Aug 4, 2006 (1367 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address