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••••••• D••••• G•••••••••

N•••••••• A•••• M••••••••• I••independent RIABoston, MaIA-onlyIAPD 6062321

Feed of 09/14/2026

At current firm

2 y

since Mar 5, 2024

In the industry

13 y

since Oct 11, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••••• A•••• M••••••••• I•• independent RIA current
since Mar 5, 2024 · Boston, Ma
C•••• H••• P•••••••• L•• former
Jul 7, 2022 to Oct 19, 2023 · Portland, Or
F••••• I••••••••• independent RIA
May 23, 2018 to Jun 27, 2022 · Plano, Tx
N•••••• A•••••••• L•• BD affiliated
Sep 22, 2014 to Apr 3, 2018 · Boston, Ma
M••••• S•••••• wirehouse
Jun 27, 2013 to Apr 14, 2014 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••• H••• P•••••••• L•• to N•••••••• A•••• M••••••••• I••
left Oct 19, 2023, registered Mar 5, 2024 (138 days) · RIA to RIA
F••••• I••••••••• to C•••• H••• P•••••••• L••
left Jun 27, 2022, registered Jul 7, 2022 (10 days) · RIA to RIA
N•••••• A•••••••• L•• to F••••• I•••••••••
left Apr 3, 2018, registered May 23, 2018 (50 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to N•••••• A•••••••• L••
left Apr 14, 2014, registered Sep 22, 2014 (161 days) · Other

Signals

J••••••• D••••• G••••••••• left C•••• H••• P•••••••• L•• for N•••••••• A•••• M••••••••• I•• (registered 2024-03-05)
Oct 19, 2023 · Advisor changed firm · fact
J••••••• D••••• G••••••••• left F••••• I••••••••• for C•••• H••• P•••••••• L•• (registered 2022-07-07)
Jun 27, 2022 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address