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••• E• W••••
- F••••••• H••••• A•••••••• L•• independent RIA currentsince Dec 13, 2023 · Mount Pleasant, Sc
- A••• F•••••••• P•••••••• L•• unclassifiedFeb 22, 2021 to Dec 8, 2023 · Marshfield, Ma
- O•••• P•••••••• S••••••••• L•• formerFeb 12, 2020 to Sep 16, 2020 · Scituate, Ma
- O•••• P•••••••• S••••••••• L•• BD affiliatedJan 8, 2015 to Dec 31, 2019 · Scituate, Ma
- O•••• P•••••••• S••••••••• L•• BD affiliatedJan 23, 2014 to Dec 31, 2014 · Omaha, Ne
- A••• F•••••••• P•••••••• L•• to F••••••• H••••• A•••••••• L••left Dec 8, 2023, registered Dec 13, 2023 (5 days) · Other
- O•••• P•••••••• S••••••••• L•• to A••• F•••••••• P•••••••• L••left Sep 16, 2020, registered Feb 22, 2021 (159 days) · Other
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Dec 31, 2019, registered Feb 12, 2020 (43 days) · channel change inside one enterprise, not a move
- J••• E• W•••• left A••• F•••••••• P•••••••• L•• for F••••••• H••••• A•••••••• L•• (registered 2023-12-13)Dec 8, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address