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.
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G•••• A•••••• C••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Hopkinton, Ma
- S••••••••• A•••••• A•••••••• I••• formerJan 11, 2023 to Jun 14, 2024 · Hopkinton, Ma
- T•• P•••••• F•••••••• G••••• L•• independent RIAOct 20, 2014 to Feb 10, 2023 · Dedham, Ma
- L•• F•••••••• L•• BD affiliatedMar 10, 2009 to Oct 23, 2015 · Charlotte, Nc
- O•••• F•• I••• formerMay 7, 2007 to Feb 27, 2009 · Dedham, Ma
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- T•• P•••••• F•••••••• G••••• L•• to S••••••••• A•••••• A•••••••• I•••left Feb 10, 2023, registered Jan 11, 2023 (-30 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to T•• P•••••• F•••••••• G••••• L••left Oct 23, 2015, registered Oct 20, 2014 (-368 days) · Other · moved with a team
- O•••• F•• I••• to L•• F•••••••• L••left Feb 27, 2009, registered Mar 10, 2009 (11 days) · Other
- G•••• A•••••• C•••••••• left T•• P•••••• F•••••••• G••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2023-01-11)Feb 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address