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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D••••• J•• C•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 22, 2022 · Plymouth, Mn
- P••••••• P•••••• W•••••• L•• formerMar 14, 2014 to Sep 22, 2022 · Woburn, Ma
- L•• F•••••••• L•• BD affiliatedJun 4, 2009 to Oct 28, 2015 · Woburn, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Nov 20, 2007 · Beverly, Ma
- Q•••• • R•••••• I••• unclassifiedSep 3, 2004 to Oct 20, 2004 · Cambridge, Ma
- P••••••• P•••••• W•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 22, 2022, registered Sep 22, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to P••••••• P•••••• W•••••• L••left Oct 28, 2015, registered Mar 14, 2014 (-593 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 20, 2007, registered Jun 4, 2009 (562 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
- D••••• J•• C••••• left P••••••• P•••••• W•••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-09-22)Sep 22, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address