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•••••• W• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Milton, Ma
- L•• F•••••••• L•• BD affiliatedJul 24, 2018 to Aug 10, 2023 · Boston, Ma
- C••••• A••••••• L•• formerOct 3, 2016 to Jul 19, 2018 · Boston, Ma
- A•••• C•••••• L•• unclassifiedOct 21, 2009 to Jan 3, 2017 · Boston, Ma
- I•••••••• C•••••• A••••••• formerSep 8, 2009 to Oct 3, 2016 · Lynnfield, Ma
- M••••• S•••••• C••••••••• unclassifiedJul 22, 2009 to Sep 1, 2009 · Braintree, Ma
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Mar 21, 2024 (224 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to L•• F•••••••• L••left Jul 19, 2018, registered Jul 24, 2018 (5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A•••• C•••••• L•• to C••••• A••••••• L••left Jan 3, 2017, registered Oct 3, 2016 (-92 days) · Other
- I•••••••• C•••••• A••••••• to A•••• C•••••• L••left Oct 3, 2016, registered Oct 21, 2009 (-2539 days) · Other · moved with a team
- M••••• S•••••• C••••••••• to I•••••••• C•••••• A•••••••left Sep 1, 2009, registered Sep 8, 2009 (7 days) · Other
- R•••••• W• R••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Aug 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address