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.
D••••• P••• M•••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Feb 23, 2024 · Braintree, Ma
- O•••• W•••••• I••• BD affiliatedJun 8, 2015 to Mar 6, 2024 · Braintree, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 2, 2010 to Jun 3, 2015 · Los Angeles, Ca
- S••••••••• A•••••• A•••••••• I••• formerJul 14, 2004 to Feb 2, 2010 · Quincy, Ma
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 26, 2002 to Jul 16, 2004 · Quincy, Ma
- A•••• • F•••••••• P•••••••• L•• formerFeb 23, 2002 to Jul 15, 2002 · Newton Center, Ma
- O•••• W•••••• I••• to A•••••• W••••• M••••••••• L••left Mar 6, 2024, registered Feb 23, 2024 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••left Jun 3, 2015, registered Jun 8, 2015 (5 days) · Other
- S••••••••• A•••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 2, 2010, registered Feb 2, 2010 (0 days) · Other
- C••••• I••••••••• A••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jul 16, 2004, registered Jul 14, 2004 (-2 days) · Other
- A•••• • F•••••••• P•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 15, 2002, registered Jun 26, 2002 (-19 days) · Other
- D••••• P••• M••••••• left O•••• W•••••• I••• for A•••••• W••••• M••••••••• L•• (registered 2024-02-23)Mar 6, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address