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.
D•••••• H••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 7, 2023 · Burlington, Ma
- S••••••••• A•••••• A•••••••• I••• formerMar 24, 2022 to Mar 3, 2023 · Burlington, Ma
- T•• P•••••• F•••••••• G••••• L•• independent RIAOct 6, 2014 to Mar 1, 2022 · Walpole, Ma
- L•• F•••••••• L•• BD affiliatedJul 15, 2013 to Oct 21, 2015 · Westborough, Ma
- M••••• S•••••• wirehouseMar 4, 2011 to Sep 21, 2012 · Waltham, Ma
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Mar 3, 2023, registered Mar 7, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
- T•• P•••••• F•••••••• G••••• L•• to S••••••••• A•••••• A•••••••• I•••left Mar 1, 2022, registered Mar 24, 2022 (23 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to T•• P•••••• F•••••••• G••••• L••left Oct 21, 2015, registered Oct 6, 2014 (-380 days) · Other · moved with a team
- M••••• S•••••• to L•• F•••••••• L••left Sep 21, 2012, registered Jul 15, 2013 (297 days) · Other
- D•••••• H••••• B•••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-03-07)Mar 3, 2023 · Advisor changed firm · fact
- D•••••• H••••• B•••••• left T•• P•••••• F•••••••• G••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2022-03-24)Mar 1, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address