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

M•••••• J•••• O••••••

C••••••• S••••••••• I•••BD affiliatedJohnston, Ri dual registrantIAPD 6308876

Feed of 09/14/2026

Also filed as M•••••• J•••• O••••••

At current firm

1 y

since Oct 21, 2024

In the industry

12 y

since Aug 22, 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

C••••••• S••••••••• I••• BD affiliated current
since Oct 21, 2024 · Johnston, Ri
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 4, 2022 to Oct 18, 2024 · Wellesley Hills, Ma
S•••••••• S••••••••• BD affiliated
Jun 13, 2018 to Mar 8, 2022 · Brighton, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 1, 2015 to May 21, 2018 · Wellesley Hills, Ma
M••••• S•••••• wirehouse
Aug 22, 2014 to May 15, 2015 · Wellesley, Ma

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••
left Oct 18, 2024, registered Oct 21, 2024 (3 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 8, 2022, registered Mar 4, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••
left May 21, 2018, registered Jun 13, 2018 (23 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 15, 2015, registered May 1, 2015 (-14 days) · Wirehouse to wirehouse · moved with a team

Signals

M•••••• J•••• O•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• I••• (registered 2024-10-21)
Oct 18, 2024 · Advisor changed firm · fact
M•••••• J•••• O•••••• left S•••••••• S••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-03-04)
Mar 8, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address