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.
L•••• L••• K••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 1, 2023 · Franklin, Ma
- O•••• F•• I••• formerJul 10, 2007 to Aug 1, 2023 · Franklin, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedDec 11, 2003 to Dec 31, 2005 · Woodbridge, Nj
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2023, registered Aug 1, 2023 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• I••••••••• F••• S••••••• L•• to O•••• F•• I•••left Dec 31, 2005, registered Jul 10, 2007 (556 days) · Other
- L•••• L••• K•••• left O•••• F•• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-08-01)Aug 1, 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