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

T••••• J••••• M•••••••

C••••••• S••••••••• I•••BD affiliatedLexington, Ma dual registrantIAPD 4661142

Certified Financial Planner

Feed of 09/15/2026

At current firm

3 y

since Aug 7, 2023

In the industry

18 y

since May 16, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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••••••• S••••••••• I••• BD affiliated current
since Aug 7, 2023 · Johnston, Ri
C••••••• P•••••• W••••• BD affiliated
Mar 22, 2023 to Jun 30, 2025 · Lexington, Ma
W•••••••• A•••• M••••••••• I••• mixed wealth
Oct 31, 2019 to Mar 24, 2023 · Portsmouth, Nh
B••••• F•••••••• M••••••••• L•• former
Sep 12, 2018 to Jan 16, 2019 · B•••••, Ma
S•• W••••• independent RIA
Jul 20, 2015 to Sep 7, 2018 · B•••••, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 27, 2009 to Nov 29, 2013 · B•••••, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 27, 2008 to Oct 23, 2009 · B•••••, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to C••••••• S••••••••• I•••
left Jun 30, 2025, registered Aug 7, 2023 (-693 days) · Affiliated broker-dealer or bank to another
W•••••••• A•••• M••••••••• I••• to C••••••• P•••••• W•••••
left Mar 24, 2023, registered Mar 22, 2023 (-2 days) · RIA to RIA
B••••• F•••••••• M••••••••• L•• to W•••••••• A•••• M••••••••• I•••
left Jan 16, 2019, registered Oct 31, 2019 (288 days) · RIA to RIA
S•• W••••• to B••••• F•••••••• M••••••••• L••
left Sep 7, 2018, registered Sep 12, 2018 (5 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•• W•••••
left Nov 29, 2013, registered Jul 20, 2015 (598 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 27, 2009 (4 days) · corporate re-registration, not a move

Signals

T••••• J••••• M••••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2023-08-07)
Jun 30, 2025 · Advisor changed firm · fact
T••••• J••••• M••••••• left W•••••••• A•••• M••••••••• I••• for C••••••• P•••••• W••••• (registered 2023-03-22)
Mar 24, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address