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•••• M•••••• O•••••••
- T•• P•••••• F•••••••• G••••• L•• independent RIA currentsince Oct 6, 2014 · Walpole, Ma
- L•• F•••••••• L•• BD affiliatedMar 10, 2009 to Jul 3, 2018 · Amesbury, Ma
- O•••• F•• I••• formerJul 15, 2005 to Feb 27, 2009 · Waltham, Ma
- N•• E•••••• S••••••••• C••••••••• formerAug 26, 1998 to Dec 1, 2003 · Worcester, Ma
- L•• F•••••••• L•• to T•• P•••••• F•••••••• G••••• L••left Jul 3, 2018, registered Oct 6, 2014 (-1366 days) · Other · moved with a team
- O•••• F•• I••• to L•• F•••••••• L••left Feb 27, 2009, registered Mar 10, 2009 (11 days) · Other
- N•• E•••••• S••••••••• C••••••••• to O•••• F•• I•••left Dec 1, 2003, registered Jul 15, 2005 (592 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
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address