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

C••• M•••••• L••••••

C••••••••• F•••••••• N••••••national BDWaltham, Ma dual registrantIAPD 7203418

Feed of 09/14/2026

Also filed as C••• L••••••

At current firm

1 y

since Jul 24, 2025

In the industry

11 y

since Sep 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

C••••••••• F•••••••• N•••••• national BD current
since Jul 24, 2025 · Saratoga Springs, Ny
V••••••• • A••••••••• F•••••••• P••••••• I•• former
Jun 18, 2024 to Oct 15, 2025 · Saratoga Springs, Ny
O•••• W•••••• I••• BD affiliated
Apr 23, 2024 to Aug 30, 2024 · Saratoga Springs, Ny
S•••••• W••••• P•••••••• L•• BD affiliated
Mar 18, 2021 to Apr 17, 2024 · Clifton Park, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 28, 2020 to Mar 27, 2021 · Saratoga Springs, Ny

Moves

a registration end followed by a registration begin elsewhere

V••••••• • A••••••••• F•••••••• P••••••• I•• to C••••••••• F•••••••• N••••••
left Oct 15, 2025, registered Jul 24, 2025 (-83 days) · RIA to affiliated broker-dealer or bank · moved with a team
O•••• W•••••• I••• to V••••••• • A••••••••• F•••••••• P••••••• I••
left Aug 30, 2024, registered Jun 18, 2024 (-73 days) · Affiliated broker-dealer or bank to independent RIA
S•••••• W••••• P•••••••• L•• to O•••• W•••••• I•••
left Apr 17, 2024, registered Apr 23, 2024 (6 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• W••••• P•••••••• L••
left Mar 27, 2021, registered Mar 18, 2021 (-9 days) · Wirehouse to affiliated broker-dealer or bank

Signals

C••• M•••••• L•••••• left V••••••• • A••••••••• F•••••••• P••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2025-07-24)
Oct 15, 2025 · Advisor changed firm · fact
C••• M•••••• L•••••• left O•••• W•••••• I••• for V••••••• • A••••••••• F•••••••• P••••••• I•• (registered 2024-06-18)
Aug 30, 2024 · Advisor changed firm · fact
C••• M•••••• L•••••• left S•••••• W••••• P•••••••• L•• for O•••• W•••••• I••• (registered 2024-04-23)
Apr 17, 2024 · 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