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.
D•••••• E••••• W••••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 12, 2024 · Hampton, Nh
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 7, 2021 to Feb 12, 2024 · Boston, Ma
- W•••••• W••••• M••••••••• L•• formerJan 5, 2018 to Jul 23, 2021 · Boston, Ma
- W•••••• W••••• M••••••••• L•• formerJan 8, 2013 to Dec 31, 2017 · Boston, Ma
- M••••••• P•••••• W••••• S••••••• L•• independent RIAFeb 15, 2012 to Nov 26, 2022 · Boston, Ma
- M••••••• P•••••• W••••• S••••••• L•• independent RIAMay 23, 2011 to Jun 24, 2011 · Boston, Ma
- W••••••• E•••• • C••••••• I••• formerOct 21, 2008 to Apr 13, 2021 · Boston, Ma
- D••••••• F••••• • C•• unclassifiedMar 25, 2004 to Oct 7, 2008 · Boston, Ma
- J••• M••••• S••••••••• I••• unclassifiedJun 16, 2001 to Jul 16, 2002 · Boston, Ma
- B• R•••• W••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Feb 12, 2024, registered Feb 12, 2024 (0 days) · Affiliated broker-dealer or bank to another
- M••••••• P•••••• W••••• S••••••• L•• to W•••••• W••••• M••••••••• L••left Nov 26, 2022, registered Jan 8, 2013 (-3609 days) · Other
- W•••••• W••••• M••••••••• L•• to B• R•••• W••••• A•••••••• I•••left Jul 23, 2021, registered Apr 7, 2021 (-107 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W••••••• E•••• • C••••••• I••• to M••••••• P•••••• W••••• S••••••• L••left Apr 13, 2021, registered May 23, 2011 (-3613 days) · Other · moved with a team
- D••••••• F••••• • C•• to W••••••• E•••• • C••••••• I•••left Oct 7, 2008, registered Oct 21, 2008 (14 days) · Other
- J••• M••••• S••••••••• I••• to D••••••• F••••• • C••left Jul 16, 2002, registered Mar 25, 2004 (618 days) · Other
- D•••••• E••••• W•••• left B• R•••• W••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-02-12)Feb 12, 2024 · Advisor changed firm · fact
- D•••••• E••••• W•••• left M••••••• P•••••• W••••• S••••••• L•• for W•••••• W••••• M••••••••• L•• (registered 2013-01-08)Nov 26, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address