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.
J••• P•••••• K••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 13, 2023 · Watersound, Fl
- O••••••••• • C•• I••• BD affiliatedFeb 27, 2018 to Jun 16, 2023 · Boston, Ma
- M•••• • C••••• I•• BD affiliatedJul 28, 2011 to Feb 23, 2018 · Norwell, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 29, 2011 · Hingham, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 5, 2007 to Oct 23, 2009 · Hingham, Ma
- R•• C•••••• M••••••• L•• national BDNov 4, 2003 to Feb 15, 2007 · Norwell, Ma
- O••••••••• • C•• I••• to L•• F•••••••• L••left Jun 16, 2023, registered Jul 13, 2023 (27 days) · Affiliated broker-dealer or bank to another
- M•••• • C••••• I•• to O••••••••• • C•• I•••left Feb 23, 2018, registered Feb 27, 2018 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••• • C••••• I••left Jul 29, 2011, registered Jul 28, 2011 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 15, 2007, registered Feb 5, 2007 (-10 days) · Other
- John Patrick Keating left Oppenheimer & Co. Inc. for Lpl Financial Llc (registered 2023-07-13)Jun 16, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address