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•••••• B••••••
- O•••• I••••••••• I••• BD affiliated currentsince Aug 1, 2023 · Lexington, Ma
- L•• F•••••••• L•• BD affiliatedAug 17, 2022 to Aug 16, 2023 · Wellesley, Ma
- P••••••• U••••• A•••••••• I••• formerJun 1, 2018 to Aug 17, 2022 · Wellesley, Ma
- P••••••• S••••••••• I••• formerMay 19, 2006 to Mar 31, 2020 · Boston, Ma
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Aug 16, 2023, registered Aug 1, 2023 (-15 days) · Affiliated broker-dealer or bank to another
- 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
- Joseph Michael Buckley left Lpl Financial Llc for Osaic Institutions, Inc. (registered 2023-08-01)Aug 16, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address