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

V•••••• A•••••••••

L•• F•••••••• L••BD affiliatedBoston, Madual registrantIAPD 6161578

Feed of 09/14/2026

Also filed as Sonia A•••••••••

At current firm

3 y

since Jun 14, 2023

In the industry

13 y

since Jun 18, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 14, 2023 · Boston, Ma
C••••••• S••••••••• I••• BD affiliated
Sep 7, 2021 to Oct 6, 2022 · Weston, Ma
C••••••• P•••••• W••••• BD affiliated
Aug 25, 2020 to Oct 6, 2022 · Chestnut Hill, Ma
C••••••• S••••••••• I••• BD affiliated
Mar 3, 2020 to Jul 15, 2020 · Framingham, Ma
C••• F•••••••• S•••••••• L••• former
Nov 5, 2019 to Feb 28, 2020 · Millbury, Ma
A••••• A•• P••••••• S••••••• BD affiliated
May 16, 2016 to Aug 15, 2019 · Waltham, Ma
C••••••• S••••••••• I••• BD affiliated
Jan 29, 2015 to May 3, 2016 · Framingham, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to C••••••• S••••••••• I•••
left Oct 6, 2022, registered Sep 7, 2021 (-394 days) · RIA to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to L•• F•••••••• L••
left Oct 6, 2022, registered Jun 14, 2023 (251 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to C••••••• P•••••• W•••••
left Jul 15, 2020, registered Aug 25, 2020 (41 days) · Affiliated broker-dealer or bank to independent RIA
C••• F•••••••• S•••••••• L••• to C••••••• S••••••••• I•••
left Feb 28, 2020, registered Mar 3, 2020 (4 days) · Affiliated broker-dealer or bank to another
A••••• A•• P••••••• S••••••• to C••• F•••••••• S•••••••• L•••
left Aug 15, 2019, registered Nov 5, 2019 (82 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••
left May 3, 2016, registered May 16, 2016 (13 days) · Other

Signals

V•••••• A••••••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-06-14)
Oct 6, 2022 · Advisor changed firm · fact
V•••••• A••••••••• left C••••••• P•••••• W••••• for C••••••• S••••••••• I••• (registered 2021-09-07)
Oct 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address