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

S•••••••• M•••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseProvidence, Ridual registrantIAPD 7015482

Feed of 09/14/2026

Also filed as S•••••••• Kristine M•••••

At current firm

0 y

since Jan 6, 2026

In the industry

10 y

since Mar 1, 2016 (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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Jan 6, 2026 · Providence, Ri
U•• F•••••••• S••••••• I••• wirehouse
Jun 24, 2024 to Jan 16, 2026 · Providence, Ri
O•••• I••••••••• I••• BD affiliated
May 19, 2023 to May 6, 2024 · Mystic, Ct
P••••••••• P••••••• G•••• independent RIA
Jan 22, 2020 to May 18, 2023 · Westerly, Ri
O•••• I••••••••• I••• BD affiliated
Mar 19, 2019 to Dec 3, 2019 · Southern Oines, Nc

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 16, 2026, registered Jan 6, 2026 (-10 days) · Wirehouse to wirehouse · moved with a team
O•••• I••••••••• I••• to U•• F•••••••• S••••••• I•••
left May 6, 2024, registered Jun 24, 2024 (49 days) · Affiliated broker-dealer or bank to wirehouse
P••••••••• P••••••• G•••• to O•••• I••••••••• I•••
left May 18, 2023, registered May 19, 2023 (1 days) · RIA to affiliated broker-dealer or bank
O•••• I••••••••• I••• to P••••••••• P••••••• G••••
left Dec 3, 2019, registered Jan 22, 2020 (50 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S•••••••• M••••• left U•• F•••••••• S••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-01-06)
Jan 16, 2026 · Advisor changed firm · fact
S•••••••• M••••• left O•••• I••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2024-06-24)
May 6, 2024 · Advisor changed firm · fact
S•••••••• M••••• left P••••••••• P••••••• G•••• for O•••• I••••••••• I••• (registered 2023-05-19)
May 18, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address