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

R••••• B••• B•••••

C••••••••• F•••••••• N••••••national BDWaltham, MaIA-onlyIAPD 6652024

Feed of 09/14/2026

Also filed as R••••• Ann B•••

At current firm

2 y

since Aug 28, 2024

In the industry

12 y

since Mar 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Aug 28, 2024 · Waltham, Ma
C••• L•• BD affiliated
Feb 28, 2023 to May 17, 2024 · Boston, Ma
K••••• A••••••• S•••••••• L•• BD affiliated
Mar 5, 2020 to Feb 28, 2023 · Boston, Ma
T••• W••••• P••••••• A•• M••••••••• I••• former
Jul 21, 2016 to Oct 23, 2018 · Amherst, Ma

Moves

a registration end followed by a registration begin elsewhere

C••• L•• to C••••••••• F•••••••• N••••••
left May 17, 2024, registered Aug 28, 2024 (103 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to C••• L••
left Feb 28, 2023, registered Feb 28, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
T••• W••••• P••••••• A•• M••••••••• I••• to K••••• A••••••• S•••••••• L••
left Oct 23, 2018, registered Mar 5, 2020 (499 days) · Other

Signals

R••••• B••• B••••• left C••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-08-28)
May 17, 2024 · Advisor changed firm · fact
R••••• B••• B••••• left K••••• A••••••• S•••••••• L•• for C••• L•• (registered 2023-02-28)
Feb 28, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address