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•••• C••••••••• P••••

F•••• P••••••• W•••••• L••independent RIANorth Andover, Ma IA-onlyIAPD 5414908

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jun 3, 2024

In the industry

18 y

since Oct 11, 2007 (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

F•••• P••••••• W•••••• L•• independent RIA current
since Jun 3, 2024 · Windham, Nh
C•••••••• W••••• former
Aug 22, 2023 to Jul 25, 2024 · North Andover, Ma
N•••• W••••• M••••••••• L•• former
Nov 1, 2021 to Aug 31, 2023 · Windham, Nh
N•• E•••••• I••••••••• • R••••••••• G••••• I••• former
Mar 21, 2012 to Nov 1, 2021 · North Andover, Ma
M•••• L•••• F•••••••• A••••••• L•• former
Oct 12, 2007 to Feb 21, 2012 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••••• W••••• to F•••• P••••••• W•••••• L••
left Jul 25, 2024, registered Jun 3, 2024 (-52 days) · RIA to RIA · moved with a team
N•••• W••••• M••••••••• L•• to C•••••••• W•••••
left Aug 31, 2023, registered Aug 22, 2023 (-9 days) · channel change inside one enterprise, not a move
N•• E•••••• I••••••••• • R••••••••• G••••• I••• to N•••• W••••• M••••••••• L••
left Nov 1, 2021, registered Nov 1, 2021 (0 days) · RIA to a newly registered adviser
M•••• L•••• F•••••••• A••••••• L•• to N•• E•••••• I••••••••• • R••••••••• G••••• I•••
left Feb 21, 2012, registered Mar 21, 2012 (29 days) · Other

Signals

B•••• C••••••••• P•••• left C•••••••• W••••• for F•••• P••••••• W•••••• L•• (registered 2024-06-03)
Jul 25, 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address