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.

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Registered advisor

J••• J••••• E••••

L•• F•••••••• L••BD affiliatedCranston, Ri dual registrantIAPD 3210560

Feed of 09/14/2026

Also filed as J••• E••••

At current firm

5 y

since Jul 15, 2021

In the industry

26 y

since May 16, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 15, 2021 · Cranston, Ri
G• A• R••••• • C•••••• BD affiliated
Jan 6, 2020 to Jul 2, 2021 · Casselberry, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Sep 11, 2019 · Providence, Ri
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Feb 19, 2007 to Oct 23, 2009 · Lincoln, Ri

Moves

a registration end followed by a registration begin elsewhere

G• A• R••••• • C•••••• to L•• F•••••••• L••
left Jul 2, 2021, registered Jul 15, 2021 (13 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G• A• R••••• • C••••••
left Sep 11, 2019, registered Jan 6, 2020 (117 days) · Wirehouse to affiliated broker-dealer or bank
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address