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

L•••• S••••••• R••••••

T•••••••• I••••••••• M••••••••• I••asset managerMedfield, Ma dual registrantIAPD 4297969

Feed of 09/14/2026

Also filed as L•••• S R••••••

At current firm

2 y

since Jan 29, 2024

In the industry

24 y

since Dec 3, 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

T•••••••• I••••••••• M••••••••• I•• asset manager current
since Jan 29, 2024 · Santa Fe, Nm
L••••• A•••• M••••••••• L•• other
Jun 12, 2021 to Feb 15, 2023 · New York, Ny
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Jan 24, 2019 to Nov 6, 2019 · Wilton, Ct
M••••••• I••••••••• M••••••••• ••• L•• asset manager
May 10, 2007 to Oct 10, 2017 · Boston, Ma
J••• H•••••• I••••••••• M••••••••• L•• asset manager
May 7, 2007 to Dec 31, 2010 · Boston, Ma
B•••••••• F•••••••• M••••••••• I•• other
Nov 20, 2006 to Apr 13, 2007 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

L••••• A•••• M••••••••• L•• to T•••••••• I••••••••• M••••••••• I••
left Feb 15, 2023, registered Jan 29, 2024 (348 days) · Other
T••••••••• R••••••••• A•••••••• L•• to L••••• A•••• M••••••••• L••
left Nov 6, 2019, registered Jun 12, 2021 (584 days) · Other
M••••••• I••••••••• M••••••••• ••• L•• to T••••••••• R••••••••• A•••••••• L••
left Oct 10, 2017, registered Jan 24, 2019 (471 days) · Other
J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••
left Dec 31, 2010, registered May 10, 2007 (-1331 days) · corporate re-registration, not a move
B•••••••• F•••••••• M••••••••• I•• to J••• H•••••• I••••••••• M••••••••• L••
left Apr 13, 2007, registered May 7, 2007 (24 days) · Other

Signals

L•••• S••••••• R•••••• left L••••• A•••• M••••••••• L•• for T•••••••• I••••••••• M••••••••• I•• (registered 2024-01-29)
Feb 15, 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address