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•••• P•••••• M••••

E•••••• A••••••• G••••• L••BD affiliatedConcord, Nh dual registrantIAPD 4200191

Feed of 09/15/2026

Also filed as J•••• P•••••• M••••

At current firm

2 y

since Jul 17, 2024

In the industry

26 y

since May 1, 2000 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Jul 17, 2024 · Concord, Nh
A•••••• W••••• M••••••••• L•• independent RIA
Jun 29, 2021 to Jun 16, 2023 · Manchester, Nh
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Sep 1, 2020 · Boston, Ma
S•••••••• A••••••• L•• national BD
Aug 10, 2015 to Jul 13, 2018 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
Nov 7, 2007 to Dec 31, 2014 · Smithfield, Ri

Moves

a registration end followed by a registration begin elsewhere

A•••••• W••••• M••••••••• L•• to E•••••• A••••••• G••••• L••
left Jun 16, 2023, registered Jul 17, 2024 (397 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to A•••••• W••••• M••••••••• L••
left Sep 1, 2020, registered Jun 29, 2021 (301 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

J•••• P•••••• M•••• no longer holds an investment adviser registration (last listed at E•••••• A••••••• G••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
J•••• P•••••• M•••• left A•••••• W••••• M••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-07-17)
Jun 16, 2023 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address