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

S••••• G••••••

N•••••• A•••••••BD affiliatedDedham, Ma IA-onlyIAPD 4528154

Feed of 09/15/2026

At current firm

3 y

since Aug 16, 2023

In the industry

24 y

since Jun 5, 2002 (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

N•••••• A••••••• BD affiliated current
since Aug 16, 2023 · Dedham, Ma
S••••• W••••• mixed wealth
Feb 11, 2019 to Jun 12, 2023 · Wellesley, Ma
M••••• S•••••• wirehouse
Sep 27, 2018 to Nov 26, 2018 · Wellesley, Ma
U•• F•••••••• S••••••• I••• wirehouse
Oct 16, 2012 to Aug 20, 2018 · Wellesley, Ma
M••••• S•••••• wirehouse
Aug 26, 2010 to Nov 1, 2012 · Providence, Ri
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 21, 2006 to Jun 11, 2010 · Wellesley Hills, Ma

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• to N•••••• A•••••••
left Jun 12, 2023, registered Aug 16, 2023 (65 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to S••••• W•••••
left Nov 26, 2018, registered Feb 11, 2019 (77 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Aug 20, 2018, registered Sep 27, 2018 (38 days) · Wirehouse to wirehouse
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Nov 1, 2012, registered Oct 16, 2012 (-16 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Jun 11, 2010, registered Aug 26, 2010 (76 days) · Wirehouse to wirehouse

Signals

S••••• G•••••• left S••••• W••••• for N•••••• A••••••• (registered 2023-08-16)
Jun 12, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address