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

E••• A•••••••• C•••••

S••••• P•••••• F•••••••• L••independent RIASalem, NhIA-onlyIAPD 6463979

Feed of 09/14/2026

At current firm

0 y

since May 27, 2026

In the industry

11 y

since Mar 1, 2015 (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

S••••• P•••••• F•••••••• L•• independent RIA current
since May 27, 2026 · Salem, Nh
B•••••••• A•••• M••••••••• L•• independent RIA
Aug 10, 2023 to Jun 11, 2026 · Londonderry, Nh
M•• I•••••••• S•••••••• L•• BD affiliated
Sep 6, 2018 to Aug 17, 2023 · Salem, Nh
S•••••••• A••••••• L•• national BD
Dec 6, 2016 to Mar 27, 2017 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

B•••••••• A•••• M••••••••• L•• to S••••• P•••••• F•••••••• L••
left Jun 11, 2026, registered May 27, 2026 (-15 days) · RIA to a newly registered adviser
M•• I•••••••• S•••••••• L•• to B•••••••• A•••• M••••••••• L••
left Aug 17, 2023, registered Aug 10, 2023 (-7 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to M•• I•••••••• S•••••••• L••
left Mar 27, 2017, registered Sep 6, 2018 (528 days) · Affiliated broker-dealer or bank to another

Signals

E••• A•••••••• C••••• left B•••••••• A•••• M••••••••• L•• for S••••• P•••••• F•••••••• L•• (registered 2026-05-27)
Jun 11, 2026 · Advisor changed firm · fact
E••• A•••••••• C••••• left M•• I•••••••• S•••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2023-08-10)
Aug 17, 2023 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address