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

S••••• W•••• A••••

L•• F•••••••• L••BD affiliatedLittleton, Nh dual registrantIAPD 3227646

Feed of 09/14/2026

At current firm

0 y

since May 26, 2026

In the industry

25 y

since Mar 28, 2001 (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

L•• F•••••••• L•• BD affiliated current
since May 26, 2026 · Littleton, Nh
C••••••••• F•••••••• N•••••• national BD
Sep 12, 2022 to May 13, 2026 · Meredith, Nh
O•••• I••••••••• I••• BD affiliated
Feb 18, 2014 to Sep 6, 2022 · Meriden, Ct
L•• F•••••••• L•• BD affiliated
Apr 26, 2010 to Feb 19, 2014 · Bedford, Nh
O•••• F•• I••• former
Aug 18, 2009 to Apr 27, 2010 · Meredith, Nh
C••••• I••••••••• S••••••• L•• former
May 22, 2007 to Jul 20, 2009 · Bedford, Nh

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to L•• F•••••••• L••
left May 13, 2026, registered May 26, 2026 (13 days) · Affiliated broker-dealer or bank to another
O•••• I••••••••• I••• to C••••••••• F•••••••• N••••••
left Sep 6, 2022, registered Sep 12, 2022 (6 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to O•••• I••••••••• I•••
left Feb 19, 2014, registered Feb 18, 2014 (-1 days) · Other
O•••• F•• I••• to L•• F•••••••• L••
left Apr 27, 2010, registered Apr 26, 2010 (-1 days) · Other
C••••• I••••••••• S••••••• L•• to O•••• F•• I•••
left Jul 20, 2009, registered Aug 18, 2009 (29 days) · Other

Signals

S••••• W•••• A•••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2026-05-26)
May 13, 2026 · Advisor changed firm · fact
S••••• W•••• A•••• left O•••• I••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-09-12)
Sep 6, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address