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

C•••••• S•••••• M•••••

F• L• P••••• I••••••••• M••••••••• C••independent RIANeedham, MaIA-onlyIAPD 5609338

Feed of 09/14/2026

Also filed as C•••••• S M•••••

At current firm

3 y

since Jul 3, 2023

In the industry

17 y

since Feb 17, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F• L• P••••• I••••••••• M••••••••• C•• independent RIA current
since Jul 3, 2023 · Needham, Ma
S•• W••••• independent RIA
Feb 17, 2015 to Aug 8, 2023 · Boston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 27, 2009 to Apr 13, 2011 · Boston, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 5, 2009 to Oct 23, 2009 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

S•• W••••• to F• L• P••••• I••••••••• M••••••••• C••
left Aug 8, 2023, registered Jul 3, 2023 (-36 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•• W•••••
left Apr 13, 2011, registered Feb 17, 2015 (1406 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 27, 2009 (4 days) · corporate re-registration, not a move

Signals

C•••••• S•••••• M••••• left S•• W••••• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2023-07-03)
Aug 8, 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address