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.
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- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 27, 2022 · Burlington, Ma
- P••••••• P•••••• W•••••• L•• formerMay 20, 2015 to Sep 22, 2022 · Burlington, Ma
- S•••••••• A••••••• L•• national BDFeb 23, 2004 to May 8, 2015 · Burlington, Ma
- P••••••• P•••••• W•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 22, 2022, registered Sep 27, 2022 (5 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to P••••••• P•••••• W•••••• L••left May 8, 2015, registered May 20, 2015 (12 days) · Other
- J••••• S•••••••• left P••••••• P•••••• W•••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-09-27)Sep 22, 2022 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address