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.
P••••••• R••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 21, 2023 · Westford, Ma
- H••••••••• G•••• E••••• • R••••••••• S••••••••• formerNov 2, 2015 to Nov 13, 2023 · Chelmsford, Ma
- L•• F•••••••• L•• BD affiliatedSep 25, 2007 to Sep 8, 2016 · Chelmsford, Ma
- H••••••••• G•••• E••••• • R••••••••• S••••••••• to O•••• W•••••• I•••left Nov 13, 2023, registered Nov 21, 2023 (8 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to H••••••••• G•••• E••••• • R••••••••• S•••••••••left Sep 8, 2016, registered Nov 2, 2015 (-311 days) · Other · moved with a team
- P••••••• R•••• left H••••••••• G•••• E••••• • R••••••••• S••••••••• for O•••• W•••••• I••• (registered 2023-11-21)Nov 13, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address