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•••• R••••• G••••••

C••••••• S••••••••• I•••BD affiliatedSomersworth, Nh dual registrantIAPD 5229110

Feed of 09/15/2026

Also filed as B•••• R G••••••

At current firm

6 y

since Mar 2, 2020

In the industry

19 y

since Feb 20, 2007 (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

C••••••• S••••••••• I••• BD affiliated current
since Mar 2, 2020 · Nashua, Nh
S•••••••• S••••••••• BD affiliated
Jul 28, 2015 to Feb 26, 2020 · Haverhill, Ma
C••••••• S••••••••• I••• BD affiliated
Apr 3, 2015 to Jul 13, 2015 · Andover, Ma
S•••••••• S••••••••• BD affiliated
Jan 7, 2013 to Mar 27, 2015 · Methuen, Ma
C••••••• S••••••••• I••• BD affiliated
Apr 17, 2012 to Jan 3, 2013 · Waltham, Ma
L•• F•••••••• L•• BD affiliated
Jan 27, 2011 to Apr 18, 2012 · Wakefield, Ma
E••••• J•••• national BD
Apr 3, 2009 to Nov 17, 2009 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

S•••••••• S••••••••• to C••••••• S••••••••• I•••
left Feb 26, 2020, registered Mar 2, 2020 (5 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to S•••••••• S•••••••••
left Jul 13, 2015, registered Jul 28, 2015 (15 days) · Other
S•••••••• S••••••••• to C••••••• S••••••••• I•••
left Mar 27, 2015, registered Apr 3, 2015 (7 days) · Other
C••••••• S••••••••• I••• to S•••••••• S•••••••••
left Jan 3, 2013, registered Jan 7, 2013 (4 days) · Other
L•• F•••••••• L•• to C••••••• S••••••••• I•••
left Apr 18, 2012, registered Apr 17, 2012 (-1 days) · Other
E••••• J•••• to L•• F•••••••• L••
left Nov 17, 2009, registered Jan 27, 2011 (436 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address