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

B••••••• C•••••• J••••

M•• S••••••••• L••no RAUMBoston, Ma IA-onlyIAPD 6336515

Feed of 09/15/2026

At current firm

1 y

since Jan 31, 2025

In the industry

13 y

since Aug 1, 2013 (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

M•• S••••••••• L•• no RAUM current
since Jan 31, 2025 · Boston, Ma
R•••• A•••••••• L•• independent RIA
May 16, 2024 to Nov 7, 2024 · Mclean, Va
J••• M••••• S••••••••• L•• wirehouse
Feb 25, 2021 to May 9, 2024 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Sep 17, 2018 to Feb 25, 2021 · New York, Ny
M••••• S•••••• wirehouse
Oct 20, 2017 to Sep 10, 2018 · Purchase, Ny

Moves

a registration end followed by a registration begin elsewhere

R•••• A•••••••• L•• to M•• S••••••••• L••
left Nov 7, 2024, registered Jan 31, 2025 (85 days) · Other
J••• M••••• S••••••••• L•• to R•••• A•••••••• L••
left May 9, 2024, registered May 16, 2024 (7 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Feb 25, 2021, registered Feb 25, 2021 (0 days) · Wirehouse to wirehouse
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Sep 10, 2018, registered Sep 17, 2018 (7 days) · Wirehouse to wirehouse

Signals

B••••••• C•••••• J•••• left R•••• A•••••••• L•• for M•• S••••••••• L•• (registered 2025-01-31)
Nov 7, 2024 · Advisor changed firm · fact
B••••••• C•••••• J•••• left J••• M••••• S••••••••• L•• for R•••• A•••••••• L•• (registered 2024-05-16)
May 9, 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: No RAUM reportedderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address