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

J•••• E••••• S•••••

W•••• F•••• A•••••••wirehouseBoston, Madual registrantIAPD 5427338

Feed of 09/14/2026

Also filed as J•••• E••••• S•••••

At current firm

3 y

since Jun 28, 2023

In the industry

18 y

since Dec 17, 2007 (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

W•••• F•••• A••••••• wirehouse current
since Jun 28, 2023 · Boston, Ma
C••••••• S••••••••• I••• BD affiliated
Nov 13, 2017 to Jun 30, 2023 · No. Waltham, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 8, 2014 to Feb 16, 2017 · Boston, Ma
S•••••••• S••••••••• BD affiliated
Jul 8, 2013 to Jun 30, 2014 · West Roxbury, Ma
M••••• S•••••• wirehouse
Sep 28, 2011 to Sep 7, 2012 · Manchester, Nh
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 17, 2007 to Feb 20, 2008 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 30, 2023, registered Jun 28, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••
left Feb 16, 2017, registered Nov 13, 2017 (270 days) · Other
S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 30, 2014, registered Jul 8, 2014 (8 days) · Other
M••••• S•••••• to S•••••••• S•••••••••
left Sep 7, 2012, registered Jul 8, 2013 (304 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
left Feb 20, 2008, registered Sep 28, 2011 (1316 days) · Affiliated broker-dealer or bank to wirehouse

Signals

J•••• E••••• S••••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2023-06-28)
Jun 30, 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: Wirehousederived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address