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.
E••••• M•••• L••••
- W••••• A••••••• S•••••••• L•• institutional currentsince Oct 15, 2025 · Shorewood, Il
- P••••••• unclassifiedOct 23, 2009 to Dec 2, 2010 · Boston, Ma
- D•••• • L•••• C•••••• unclassifiedMar 18, 2008 to Dec 31, 2014 · Newburyport, Ma
- W•••• F•••• A••••••• wirehouseOct 1, 1999 to Sep 26, 2007 · Newburyport, Ma
- D•••• • L•••• C•••••• to P•••••••left Dec 31, 2014, registered Oct 23, 2009 (-1895 days) · Other
- P••••••• to W••••• A••••••• S•••••••• L••left Dec 2, 2010, registered Oct 15, 2025 (5431 days) · Other
- W•••• F•••• A••••••• to D•••• • L•••• C••••••left Sep 26, 2007, registered Mar 18, 2008 (174 days) · Other
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.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Institutional managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address