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••••• M•••••• S••••••

W•••••••• A•••• M••••••••• I•••mixed wealthPortsmouth, Nhdual registrantIAPD 6240004

Feed of 09/14/2026

Also filed as C••••• M•••••• S••••••

At current firm

1 y

since May 22, 2025

In the industry

12 y

since May 30, 2014 (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

W•••••••• A•••• M••••••••• I••• mixed wealth current
since May 22, 2025 · Portsmouth, Nh
C•••• A••••••• L•• asset manager
Oct 31, 2024 to Nov 19, 2024 · San Francisco, Ca
V••••••• A••••••• S••••••••• I••• independent RIA
Nov 29, 2023 to May 7, 2024 · Wakefield, Ma
E•••• V•••• M••••••••• asset manager
Oct 11, 2017 to May 17, 2021 · Boston, Ma
E•••• V•••• M••••••••• asset manager
Jun 16, 2014 to Apr 29, 2016 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••• A••••••• L•• to W•••••••• A•••• M••••••••• I•••
left Nov 19, 2024, registered May 22, 2025 (184 days) · Other
V••••••• A••••••• S••••••••• I••• to C•••• A••••••• L••
left May 7, 2024, registered Oct 31, 2024 (177 days) · Other
E•••• V•••• M••••••••• to V••••••• A••••••• S••••••••• I•••
left May 17, 2021, registered Nov 29, 2023 (926 days) · Other

Signals

C••••• M•••••• S•••••• left C•••• A••••••• L•• for W•••••••• A•••• M••••••••• I••• (registered 2025-05-22)
Nov 19, 2024 · Advisor changed firm · fact
C••••• M•••••• S•••••• left V••••••• A••••••• S••••••••• I••• for C•••• A••••••• L•• (registered 2024-10-31)
May 7, 2024 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address