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

B•••••• D••••• S••••••

L•• F•••••••• L••BD affiliatedMarlborough, Ma dual registrantIAPD 4446896

Certified Financial Planner

Feed of 09/14/2026

At current firm

8 y

since Nov 29, 2017

In the industry

24 y

since Oct 19, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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 Nov 29, 2017 · Medfield, Ma
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Aug 9, 2013 to Dec 6, 2017 · Westborough, Ma
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 25, 2009 to Aug 20, 2013 · Westborough, Ma
M•••• L•••• F•••••••• A••••••• L•• former
Sep 11, 2007 to Jul 14, 2008 · Boston, Ma
F•••• A••••• A••••••• S•••••••• I••• former
Jan 3, 2007 to Mar 28, 2007 · Braintree, Ma
S•••••• G•••••• L•• unclassified
Mar 21, 2006 to Dec 3, 2008 · Carlisle, Ma
F•• A••••••• S••••••• I•• unclassified
Jul 23, 2003 to Jan 3, 2007 · Braintree, Ma
S•••••• E•••• P•••••••• I••• unclassified
Apr 14, 2003 to Oct 30, 2003 · Braintree, Ma
E•••••• P•••• A••••••• I••• unclassified
Jan 7, 2003 to Jul 18, 2003 · Braintree, Ma

Moves

a registration end followed by a registration begin elsewhere

N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••
left Dec 6, 2017, registered Nov 29, 2017 (-7 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Aug 20, 2013, registered Aug 9, 2013 (-11 days) · Other
S•••••• G•••••• L•• to F•••• A••••• A••••••• S•••••••• I•••
left Dec 3, 2008, registered Jan 3, 2007 (-700 days) · Other
M•••• L•••• F•••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jul 14, 2008, registered Feb 25, 2009 (226 days) · Other
F•••• A••••• A••••••• S•••••••• I••• to M•••• L•••• F•••••••• A••••••• L••
left Mar 28, 2007, registered Sep 11, 2007 (167 days) · Other
F•• A••••••• S••••••• I•• to S•••••• G•••••• L••
left Jan 3, 2007, registered Mar 21, 2006 (-288 days) · Other
S•••••• E•••• P•••••••• I••• to F•• A••••••• S••••••• I••
left Oct 30, 2003, registered Jul 23, 2003 (-99 days) · Other
E•••••• P•••• A••••••• I••• to S•••••• E•••• P•••••••• I•••
left Jul 18, 2003, registered Apr 14, 2003 (-95 days) · Other

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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address