DFX Intelligence
RIA Intelligence
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Registered advisor
T•••••• M•••••• G•••••
Feed of 09/14/2026
At current firm
3 y
since Apr 5, 2023
In the industry
19 y
since May 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 5, 2023 · Woburn, Ma
- N•• E•••••• S•••••••• I••• independent RIAMay 10, 2017 to Apr 3, 2023 · Peabody, Ma
Moves
a registration end followed by a registration begin elsewhere
- N•• E•••••• S•••••••• I••• to L•• F•••••••• L••left Apr 3, 2023, registered Apr 5, 2023 (2 days) · RIA to affiliated broker-dealer or bank
Signals
- T•••••• M•••••• G••••• left N•• E•••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-04-05)Apr 3, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address