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••• L•••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Dec 9, 2025 · New York, Ny
- L•• F•••••••• L•• BD affiliatedAug 1, 2024 to Sep 10, 2025 · Worcester, Ma
- O•••• F•• I••• formerMay 29, 2019 to May 17, 2024 · Worcester, Ma
- C••••••• S••••••••• I••• BD affiliatedJun 13, 2016 to May 21, 2019 · Natick, Ma
- S•••••••• S••••••••• BD affiliatedDec 15, 2014 to Jun 9, 2016 · Plymouth, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2013 to Dec 5, 2014 · Lexington, Ma
- W•••• F•••• A••••••• wirehouseJan 3, 2013 to May 13, 2013 · Wellesley, Ma
- L•• F•••••••• L•• to S••••• W••••• A•••••••• I•••left Sep 10, 2025, registered Dec 9, 2025 (90 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left May 17, 2024, registered Aug 1, 2024 (76 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to O•••• F•• I•••left May 21, 2019, registered May 29, 2019 (8 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Jun 9, 2016, registered Jun 13, 2016 (4 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••left Dec 5, 2014, registered Dec 15, 2014 (10 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 13, 2013, registered Sep 26, 2013 (136 days) · Wirehouse to wirehouse
- J••• L••••••• left L•• F•••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-12-09)Sep 10, 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
- No RAUM reportedderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address