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.
E•••• P•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · North Grafton, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJul 9, 2012 to Jul 13, 2018 · Boston, Ma
- O•••• F•• I••• formerApr 11, 2012 to Jun 4, 2012 · Arlington, Ma
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerNov 27, 2007 to Dec 1, 2011 · New Y•••, Ny
- I•••••••• C•••••• A••••••• formerAug 25, 2005 to Nov 20, 2007 · Lynnfield, Ma
- U•• A••••••• institutionalJul 9, 2002 to Aug 20, 2002 · Glastonbury, Ct
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S•••••••• A••••••• L••left Jun 4, 2012, registered Jul 9, 2012 (35 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to O•••• F•• I•••left Dec 1, 2011, registered Apr 11, 2012 (132 days) · Other
- I•••••••• C•••••• A••••••• to N•• Y••• L••• I••••••••• M••••••••• L••left Nov 20, 2007, registered Nov 27, 2007 (7 days) · Other
- U•• A••••••• to I•••••••• C•••••• A•••••••left Aug 20, 2002, registered Aug 25, 2005 (1101 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address