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

N••••• R••••• F••••

E••••• J••••national BDWarwick, Ridual registrantIAPD 6577635

Certified Financial Planner

Feed of 09/14/2026

Also filed as N••••• R••••• F••••

At current firm

1 y

since Feb 28, 2025

In the industry

10 y

since Oct 1, 2015 (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

E••••• J•••• national BD current
since Feb 28, 2025 · Warwick, Ri
C••••••• P•••••• W••••• BD affiliated
Jan 30, 2023 to Dec 9, 2024 · Chestnut Hill, Ma
C••••••• S••••••••• I••• BD affiliated
Jan 30, 2023 to Dec 9, 2024 · Hudson, Ma
W•••• F•••• A••••••• wirehouse
Nov 15, 2018 to Jan 26, 2023 · Worcester, Ma
C••••••• S••••••••• I••• BD affiliated
Apr 11, 2017 to Nov 13, 2018 · Warwick, Ri

Moves

a registration end followed by a registration begin elsewhere

C••••••• P•••••• W••••• to E••••• J••••
left Dec 9, 2024, registered Feb 28, 2025 (81 days) · RIA to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to C••••••• P•••••• W•••••
left Dec 9, 2024, registered Jan 30, 2023 (-679 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to C••••••• S••••••••• I•••
left Jan 26, 2023, registered Jan 30, 2023 (4 days) · Wirehouse to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Nov 13, 2018, registered Nov 15, 2018 (2 days) · Affiliated broker-dealer or bank to wirehouse

Signals

N••••• R••••• F•••• left C••••••• P•••••• W••••• for E••••• J•••• (registered 2025-02-28)
Dec 9, 2024 · Advisor changed firm · fact
N••••• R••••• F•••• left C••••••• S••••••••• I••• for C••••••• P•••••• W••••• (registered 2023-01-30)
Dec 9, 2024 · Advisor changed firm · fact
N••••• R••••• F•••• left W•••• F•••• A••••••• for C••••••• S••••••••• I••• (registered 2023-01-30)
Jan 26, 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address