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.
C•••••• M••••• M•••••
- F••••••• F•••••••• S••••••••• L•• independent RIA currentsince Aug 9, 2023 · Charlton, Ma
- S••••••••• A•••••• A•••••••• I••• formerDec 1, 2017 to Aug 1, 2023 · Charlton, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 3, 2006 to Nov 8, 2017 · South Windsor, Ct
- O•••• F•• I••• formerMar 12, 2003 to Apr 3, 2006 · Charlton, Ma
- P•••••• A••••••• S••••••• I•• unclassifiedApr 28, 1999 to Mar 21, 2003 · Charlton, Ma
- S••••••••• A•••••• A•••••••• I••• to F••••••• F•••••••• S••••••••• L••left Aug 1, 2023, registered Aug 9, 2023 (8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 8, 2017, registered Dec 1, 2017 (23 days) · Other · moved with a team
- O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 3, 2006, registered Apr 3, 2006 (0 days) · Other
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Mar 21, 2003, registered Mar 12, 2003 (-9 days) · Other
- C•••••• M••••• M••••• left S••••••••• A•••••• A•••••••• I••• for F••••••• F•••••••• S••••••••• L•• (registered 2023-08-09)Aug 1, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address