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 · Westwood, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 7, 2023 to Mar 31, 2025 · Westwood, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 14, 2017 to Jun 15, 2021 · Braintree, Ma
- C•••••• S••••• • C••• I••• national BDApr 28, 2006 to May 16, 2014 · Boston, Ma
- K••••• I•••••• M••••••••• I•• unclassifiedNov 14, 2001 to May 5, 2003 · Wellesley Hills, Ma
- 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
- V••• F•••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 15, 2021, registered Feb 7, 2023 (602 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to V••• F•••••••• A•••••••• I•••left May 16, 2014, registered Feb 14, 2017 (1005 days) · Other
- K••••• I•••••• M••••••••• I•• to C•••••• S••••• • C••• I•••left May 5, 2003, registered Apr 28, 2006 (1089 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address