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••• P••••• M•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Rockland, Ma
- S••••••••• A•••••• A•••••••• I••• formerMar 8, 2022 to Jun 14, 2024 · Rockland, Ma
- O•••• F•• I••• formerJan 26, 2018 to Mar 9, 2022 · Rockland, Ma
- O•••• I••••••••• I••• BD affiliatedJan 31, 2008 to Dec 19, 2017 · Meriden, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jan 23, 2008 · Bridgewater, Ma
- Q•••• • R•••••• I••• unclassifiedSep 4, 2002 to Oct 20, 2004 · Brockton, 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
- O•••• F•• I••• to S••••••••• A•••••• A•••••••• I•••left Mar 9, 2022, registered Mar 8, 2022 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•••• I••••••••• I••• to O•••• F•• I•••left Dec 19, 2017, registered Jan 26, 2018 (38 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to O•••• I••••••••• I•••left Jan 23, 2008, registered Jan 31, 2008 (8 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- P••• P••••• M••••••• left O•••• F•• I••• for S••••••••• A•••••• A•••••••• I••• (registered 2022-03-08)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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address