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.
M••• L•••••• D••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 15, 2023 · Williston, Vt
- J••• M••••• S••••••••• L•• wirehouseJun 3, 2021 to Apr 21, 2023 · Boston, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedSep 30, 2015 to Nov 13, 2020 · Williston, Vt
- T• P•••••• C••••• W••••• L•• BD affiliatedApr 23, 2013 to Sep 21, 2015 · Burlington, Vt
- K•••••• C•••••• M•••••• I••• unclassifiedApr 1, 2003 to Feb 16, 2007 · Cleveland, Oh
- M••••• S•••••• D• I••• unclassifiedSep 29, 1997 to Feb 21, 2003 · Burlington, Vt
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 21, 2023, registered May 15, 2023 (24 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 13, 2020, registered Jun 3, 2021 (202 days) · Affiliated broker-dealer or bank to wirehouse
- T• P•••••• C••••• W••••• L•• to A••••• A•• P••••••• S•••••••left Sep 21, 2015, registered Sep 30, 2015 (9 days) · Other
- K•••••• C•••••• M•••••• I••• to T• P•••••• C••••• W••••• L••left Feb 16, 2007, registered Apr 23, 2013 (2258 days) · Other
- M••••• S•••••• D• I••• to K•••••• C•••••• M•••••• I•••left Feb 21, 2003, registered Apr 1, 2003 (39 days) · Other
- M••• L•••••• D•••••• left J••• M••••• S••••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-05-15)Apr 21, 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