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••• T••••• L•••
- T•• A•••••••• G•••• BD affiliated currentsince Aug 20, 2024 · Worchester, Ma
- I••••••••• W••••• C••••••• L•• independent RIAFeb 2, 2018 to Aug 20, 2024 · Worcester, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 5, 2018 · Leominster, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Leominster, Ma
- M•••••• independent RIAApr 20, 2011 to Feb 10, 2020 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerAug 18, 2008 to Jan 2, 2015 · Worcester, Ma
- I••••••••• W••••• C••••••• L•• to T•• A•••••••• G••••left Aug 20, 2024, registered Aug 20, 2024 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• to M•• F•••••••• S•••••••• I•••left Feb 10, 2020, registered Jan 2, 2015 (-1865 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to I••••••••• W••••• C••••••• L••left Feb 5, 2018, registered Feb 2, 2018 (-3 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Apr 20, 2011 (-1353 days) · Other · moved with a team
- J••• T••••• L••• left I••••••••• W••••• C••••••• L•• for T•• A•••••••• G•••• (registered 2024-08-20)Aug 20, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address