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

D••••• R• A••••

R•••••• J•••• • A••••••••• I•••national BDNew London, Ctdual registrantIAPD 5962487

Certified Financial Planner

Feed of 09/14/2026

Also filed as D••••• Richard A•••• Jr

At current firm

1 y

since Apr 30, 2025

In the industry

14 y

since Aug 28, 2012 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Apr 30, 2025 · New London, Ct
U•• F•••••••• S••••••• I••• wirehouse
Dec 4, 2018 to May 26, 2025 · New London, Ct
N•••••• A•••••••• L•• BD affiliated
Aug 5, 2013 to Nov 20, 2018 · Boston, Ma
C••••••• M••••••••• I••••••••• A•••••••• L•• asset manager
Nov 13, 2012 to Jul 29, 2013 · Boston, Ma
M••••• S•••••• wirehouse
Aug 29, 2012 to Nov 6, 2012 · New London, Ct

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left May 26, 2025, registered Apr 30, 2025 (-26 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
N•••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••
left Nov 20, 2018, registered Dec 4, 2018 (14 days) · Affiliated broker-dealer or bank to wirehouse
C••••••• M••••••••• I••••••••• A•••••••• L•• to N•••••• A•••••••• L••
left Jul 29, 2013, registered Aug 5, 2013 (7 days) · Other
M••••• S•••••• to C••••••• M••••••••• I••••••••• A•••••••• L••
left Nov 6, 2012, registered Nov 13, 2012 (7 days) · Other

Signals

D••••• R• A•••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2025-04-30)
May 26, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address