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•••• M•••••• L••••••

C••••••••• F•••••••• N••••••national BDBennington, Vtdual registrantIAPD 4643578

Feed of 09/14/2026

At current firm

0 y

since Oct 27, 2025

In the industry

23 y

since Feb 13, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Oct 27, 2025 · Bennington, Vt
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 8, 2025 to Oct 9, 2025 · Bennington, Vt
C••••••••• F•••••••• N•••••• national BD
Mar 6, 2012 to Oct 6, 2025 · North Adams, Ma
G••••••• A•••• M••••••••• L•• former
Feb 27, 2008 to Jun 21, 2024 · Bennington, Vt
C••••••• I••••••••• I••••••••• L•• unclassified
Oct 15, 2007 to Dec 31, 2008 · Bennington, Vt
I•• W••••• M••••••••• I••• BD affiliated
Oct 4, 2006 to Oct 26, 2007 · Bennington, Vt
D••• M•••• M••••••••• I•• unclassified
Mar 19, 2003 to Oct 27, 2006 · Williamstown, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••
left Oct 9, 2025, registered Oct 27, 2025 (18 days) · Affiliated broker-dealer or bank to another
C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 6, 2025, registered Oct 8, 2025 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
G••••••• A•••• M••••••••• L•• to C••••••••• F•••••••• N••••••
left Jun 21, 2024, registered Mar 6, 2012 (-4490 days) · RIA to affiliated broker-dealer or bank
C••••••• I••••••••• I••••••••• L•• to G••••••• A•••• M••••••••• L••
left Dec 31, 2008, registered Feb 27, 2008 (-308 days) · Other
I•• W••••• M••••••••• I••• to C••••••• I••••••••• I••••••••• L••
left Oct 26, 2007, registered Oct 15, 2007 (-11 days) · Other
D••• M•••• M••••••••• I•• to I•• W••••• M••••••••• I•••
left Oct 27, 2006, registered Oct 4, 2006 (-23 days) · Other

Signals

S•••• M•••••• L•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2025-10-27)
Oct 9, 2025 · Advisor changed firm · fact
S•••• M•••••• L•••••• left C••••••••• F•••••••• N•••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-10-08)
Oct 6, 2025 · Advisor changed firm · fact
S•••• M•••••• L•••••• left G••••••• A•••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2012-03-06)
Jun 21, 2024 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address