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.
R••• A•••••• D•••••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 7, 2022 · Bridgewater, Ma
- E•••••••• A•••••••• L•• national BDMar 31, 2021 to Jul 7, 2022 · Taunton, Ma
- U••••••••• W••••• M••••••••• L•• independent RIAJan 30, 2017 to Mar 30, 2021 · Bridgewater, Ma
- U••••••••• W••••• M••••••••• L•• independent RIAJan 22, 2013 to Jun 1, 2016 · Bridgewater, Ma
- S••••••••• A•••••• A•••••••• I••• formerAug 10, 2009 to Jan 24, 2017 · Bridgewater, Ma
- C••••• A•••••• N••••••• L•• formerApr 25, 2008 to Jul 23, 2009 · Bridgewater, Ma
- U•• F•••••••• S••••••• I••• wirehouseMar 2, 2007 to Oct 16, 2007 · Providence, Ri
- E•••••••• A•••••••• L•• to O•••• I••••••••• I•••left Jul 7, 2022, registered Jul 7, 2022 (0 days) · Affiliated broker-dealer or bank to another
- U••••••••• W••••• M••••••••• L•• to E•••••••• A•••••••• L••left Mar 30, 2021, registered Mar 31, 2021 (1 days) · RIA to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to U••••••••• W••••• M••••••••• L••left Jan 24, 2017, registered Jan 22, 2013 (-1463 days) · Other
- C••••• A•••••• N••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 23, 2009, registered Aug 10, 2009 (18 days) · Other
- U•• F•••••••• S••••••• I••• to C••••• A•••••• N••••••• L••left Oct 16, 2007, registered Apr 25, 2008 (192 days) · Other
- R••• A•••••• D••••• left E•••••••• A•••••••• L•• for O•••• I••••••••• I••• (registered 2022-07-07)Jul 7, 2022 · a•••••• firm change · 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