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.
P•••••• W• P•••••
- C••••••••• F•••••••• N•••••• national BD currentsince May 27, 2022 · Lynnfield, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDJun 27, 2018 to Jun 13, 2022 · Peabody, Ma
- I••••••••• P••••••••• I••• formerOct 5, 2007 to Sep 20, 2018 · Burlington, Ma
- I••• S••••••••• I••• unclassifiedApr 12, 2007 to Oct 2, 2007 · Wakefield, Ma
- I•••••••• C•••••• A••••••• formerFeb 27, 2007 to Mar 30, 2007 · Braintree, Ma
- K••••• A•••••••• I••• BD affiliatedDec 13, 2006 to Feb 13, 2007 · Cambridge, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedMay 15, 2002 to Jan 2, 2003 · Needham, Ma
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jun 13, 2022, registered May 27, 2022 (-17 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 20, 2018, registered Jun 27, 2018 (-85 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to I••••••••• P••••••••• I•••left Oct 2, 2007, registered Oct 5, 2007 (3 days) · Other
- I•••••••• C•••••• A••••••• to I••• S••••••••• I•••left Mar 30, 2007, registered Apr 12, 2007 (13 days) · Other
- K••••• A•••••••• I••• to I•••••••• C•••••• A•••••••left Feb 13, 2007, registered Feb 27, 2007 (14 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to K••••• A•••••••• I•••left Jan 2, 2003, registered Dec 13, 2006 (1441 days) · Other
- P•••••• W• P••••• left A••••••••• F•••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-05-27)Jun 13, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address