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.
C••••••••• P•••••• G••••••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Jun 16, 2023 · Waitsfield, Vt
- E•••••• A••••••• G••••• L•• BD affiliatedJul 1, 2020 to May 22, 2023 · Andover, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 24, 2019 to May 20, 2020 · Braintree, Ma
- S•••••••• S••••••••• BD affiliatedJul 2, 2019 to Nov 15, 2019 · Norfolk, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 29, 2018 to Apr 3, 2019 · Braintree, Ma
- S•••••••• A••••••• L•• national BDMay 7, 2012 to Jul 12, 2017 · Merrimack, Nh
- R•• W••••• P••••••• independent RIAFeb 17, 2012 to Apr 10, 2012 · Boston, Ma
- A•••••• I••••••••• A••••••••• C• L•• former sec a••••••Mar 25, 2011 to Apr 10, 2012 · Newton, Ma
- K••••• I•••••• M••••••••• I•• unclassifiedNov 21, 2009 to Mar 29, 2011 · Arlington, Va
- S•••••••• A••••••• L•• national BDMay 29, 2001 to Aug 26, 2009 · Boston, Ma
- E•••••• A••••••• G••••• L•• to V••• F•••••••• A•••••••• I•••left May 22, 2023, registered Jun 16, 2023 (25 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to E•••••• A••••••• G••••• L••left May 20, 2020, registered Jul 1, 2020 (42 days) · Other
- S•••••••• S••••••••• to V••• F•••••••• A•••••••• I•••left Nov 15, 2019, registered Dec 24, 2019 (39 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to S•••••••• S•••••••••left Apr 3, 2019, registered Jul 2, 2019 (90 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• A••••••• L•• to V••• F•••••••• A•••••••• I•••left Jul 12, 2017, registered Jan 29, 2018 (201 days) · Other
- R•• W••••• P••••••• to S•••••••• A••••••• L••left Apr 10, 2012, registered May 7, 2012 (27 days) · Other
- A•••••• I••••••••• A••••••••• C• L•• to R•• W••••• P•••••••left Apr 10, 2012, registered Feb 17, 2012 (-53 days) · Other
- K••••• I•••••• M••••••••• I•• to A•••••• I••••••••• A••••••••• C• L••left Mar 29, 2011, registered Mar 25, 2011 (-4 days) · Other
- S•••••••• A••••••• L•• to K••••• I•••••• M••••••••• I••left Aug 26, 2009, registered Nov 21, 2009 (87 days) · Other
- C••••••••• P•••••• G•••••• left E•••••• A••••••• G••••• L•• for V••• F•••••••• A•••••••• I••• (registered 2023-06-16)May 22, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address