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.
K••••••• M•••• M••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Aug 11, 2026 · Sudbury, Ma
- N•••••• A••••••• BD affiliatedApr 5, 2022 to Sep 23, 2024 · North Haven, Ct
- A••••• A•• P••••••• S••••••• BD affiliatedSep 3, 2014 to Mar 9, 2022 · Hamden, Ct
- N•••••• A••••••• to A••••• A•• P••••••• S•••••••left Sep 23, 2024, registered Aug 11, 2026 (687 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to N•••••• A•••••••left Mar 9, 2022, registered Apr 5, 2022 (27 days) · Affiliated broker-dealer or bank to another · moved with a team
- K••••••• M•••• M•••• left N•••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2026-08-11)Sep 23, 2024 · Advisor changed firm · fact
- K••••••• M•••• M•••• left A••••• A•• P••••••• S••••••• for N•••••• A••••••• (registered 2022-04-05)Mar 9, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address