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

A••••• R• S••••••

M••••• S••••••wirehouseEast Greenwich, Ri dual registrantIAPD 5813961

Feed of 09/14/2026

Also filed as A••••• S••••••

At current firm

3 y

since Jan 26, 2023

In the industry

15 y

since Oct 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••••• S•••••• wirehouse current
since Jan 26, 2023 · Providence, Ri
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 16, 2014 to Jan 9, 2023 · Riverside, Ri
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 7, 2013 to Apr 7, 2014 · Providence, Ri
M•••••• independent RIA
Jul 22, 2011 to Oct 3, 2011 · Overland Park,, Ks
N•• E•••••• S••••••••• C••••••••• former
Oct 20, 2010 to Sep 27, 2011 · East Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Jan 9, 2023, registered Jan 26, 2023 (17 days) · Wirehouse to wirehouse
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 7, 2014, registered Apr 16, 2014 (9 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• to A••••••••• F•••••••• S•••••••• L••
left Oct 3, 2011, registered Aug 7, 2013 (674 days) · Other
N•• E•••••• S••••••••• C••••••••• to M••••••
left Sep 27, 2011, registered Jul 22, 2011 (-67 days) · Other

Signals

A••••• R• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2023-01-26)
Jan 9, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address