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

N••••• G••••••

S•••••••• A••••••• L••national BDMerrimack, Nh dual registrantIAPD 4303856

Feed of 09/15/2026

Also filed as N••••• Gauvin

At current firm

1 y

since Mar 31, 2025

In the industry

25 y

since Apr 11, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Bedford, Nh
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 26, 2022 to Mar 31, 2025 · Merrimack, Nh
F•• S••••••••• C••••••••• former
Jul 14, 2021 to May 9, 2022 · Atlanta, Ga
S•••••••• F••••••••• I••• former
Oct 31, 2005 to May 9, 2022 · Phoenix, Az
S••••••••• S••••••••• I••• unclassified
Sep 8, 2003 to Oct 31, 2005 · Bedford, Nh

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••
left May 9, 2022, registered Jul 14, 2021 (-299 days) · channel change inside one enterprise, not a move
F•• S••••••••• C••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 9, 2022, registered Jul 26, 2022 (78 days) · Affiliated broker-dealer or bank to another
S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••
left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move

Signals

N••••• G•••••• left F•• S••••••••• C••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-26)
May 9, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address