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•••• M•••••• J••••••
- E•• F•••••••• A••••••• independent RIA currentsince Dec 18, 2023 · Bennington, Vt
- L•• F•••••••• L•• BD affiliatedAug 17, 2022 to Dec 22, 2023 · Portsmouth, Nh
- P••••••• U••••• A•••••••• I••• formerJun 1, 2018 to Aug 17, 2022 · Danvers, Ma
- P••••••• S••••••••• I••• formerMay 21, 2015 to Mar 31, 2020 · Danvers, Ma
- S•••••••• S••••••••• BD affiliatedOct 6, 2014 to May 5, 2015 · Haverhill, Ma
- P••••••• S••••••••• I••• formerMar 14, 2011 to Sep 15, 2014 · Bridgeport, Ct
- C••••••• S••••••••• I••• BD affiliatedApr 15, 2009 to Feb 1, 2011 · Hanover, Ma
- L•• F•••••••• L•• BD affiliatedDec 20, 2006 to Mar 23, 2009 · Hyannis, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 4, 2005 · Abington, Ma
- Q•••• • R•••••• I••• unclassifiedJul 24, 2003 to Oct 20, 2004 · Hyannis, Ma
- L•• F•••••••• L•• to E•• F•••••••• A•••••••left Dec 22, 2023, registered Dec 18, 2023 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered Jun 1, 2018 (-669 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to P••••••• S••••••••• I•••left May 5, 2015, registered May 21, 2015 (16 days) · Other
- P••••••• S••••••••• I••• to S•••••••• S•••••••••left Sep 15, 2014, registered Oct 6, 2014 (21 days) · Other
- C••••••• S••••••••• I••• to P••••••• S••••••••• I•••left Feb 1, 2011, registered Mar 14, 2011 (41 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Mar 23, 2009, registered Apr 15, 2009 (23 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 4, 2005, registered Dec 20, 2006 (442 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- J•••• M•••••• J•••••• left L•• F•••••••• L•• for E•• F•••••••• A••••••• (registered 2023-12-18)Dec 22, 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address