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

E•••••••• O••••••••• C•••••••

M••••••BD affiliatedMansfield, Ma IA-onlyIAPD 5382495

Feed of 09/14/2026

Also filed as E•••••••• O C•••••••

At current firm

1 y

since Jun 18, 2025

In the industry

16 y

since Apr 5, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Jun 18, 2025 · Mansfield, Ma
C••••••••• F•••••••• N•••••• national BD
May 31, 2018 to May 21, 2025 · North Smithfield, Ri
B••••• H••••• W••••• A•••••••• L•• former
Sep 29, 2017 to Apr 18, 2018 · Acton, Ma
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Feb 6, 2012 to Apr 18, 2018 · Plainville, Ma
C••••••••• F•••••••• N•••••• national BD
May 27, 2010 to Oct 14, 2011 · S. Easton, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to M••••••
left May 21, 2025, registered Jun 18, 2025 (28 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••••• H••••• W••••• A•••••••• L••
left Apr 18, 2018, registered Sep 29, 2017 (-201 days) · Other
B••••• H••••• W••••• A•••••••• L•• to C••••••••• F•••••••• N••••••
left Apr 18, 2018, registered May 31, 2018 (43 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 14, 2011, registered Feb 6, 2012 (115 days) · Other

Signals

E•••••••• O••••••••• C••••••• left C••••••••• F•••••••• N•••••• for Mariner (registered 2025-06-18)
May 21, 2025 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address