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.
K••••••• A••• F••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Boston, Ma
- B• R•••• W••••• A•••••••• I••• BD affiliatedMar 24, 2021 to May 30, 2025 · Boston, Ma
- M••••••• P•••••• W••••• S••••••• L•• independent RIAFeb 15, 2012 to Apr 8, 2014 · Boston, Ma
- W••••••• E•••• • C••••••• I••• formerMar 30, 2009 to Apr 13, 2021 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2002 to Mar 30, 2009 · Rockland, Ma
- S•••••••• A••••••• L•• national BDApr 27, 2002 to Sep 11, 2002 · Boston, Ma
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 30, 2025, registered Apr 4, 2025 (-56 days) · Affiliated broker-dealer or bank to another
- W••••••• E•••• • C••••••• I••• to M••••••• P•••••• W••••• S••••••• L••left Apr 13, 2021, registered Feb 15, 2012 (-3345 days) · Other · moved with a team
- M••••••• P•••••• W••••• S••••••• L•• to B• R•••• W••••• A•••••••• I•••left Apr 8, 2014, registered Mar 24, 2021 (2542 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• E•••• • C••••••• I•••left Mar 30, 2009, registered Mar 30, 2009 (0 days) · Other
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 11, 2002, registered Sep 16, 2002 (5 days) · Affiliated broker-dealer or bank to wirehouse
- K••••••• A••• F•••••••• left B• R•••• W••••• A•••••••• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-04-04)May 30, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address