DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Oct 1, 2014 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · S••••Field, Ri
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 21, 2022 to Mar 31, 2025 · Providence, Ri
- C••••••• S••••••••• I••• BD affiliatedJun 29, 2018 to Jan 10, 2022 · Rumford, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 5, 2017 to Jul 6, 2018 · Greenville, Ri
- C••••••• S••••••••• I••• BD affiliatedDec 1, 2016 to Apr 19, 2017 · S••••Field, Ri
- W•••• F•••• A••••••• wirehouseMay 31, 2016 to Nov 7, 2016 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 10, 2022, registered Mar 21, 2022 (70 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Jul 6, 2018, registered Jun 29, 2018 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 19, 2017, registered May 5, 2017 (16 days) · Other
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left Nov 7, 2016, registered Dec 1, 2016 (24 days) · Other
Signals
- J••••• M••••• left C••••••• S••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-03-21)Jan 10, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address