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•••• M••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 18, 2024 · Needham, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• formerJan 13, 2023 to Mar 20, 2025 · Wellesley, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 11, 2015 to Jan 17, 2023 · Wellesley Hills, Ma
- U•• F•••••••• S••••••• I••• wirehouseMar 2, 2007 to Jun 22, 2015 · Wellesley, Ma
- M••••• S•••••• D• I••• unclassifiedSep 8, 2006 to Mar 5, 2007 · Wellesley, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Jan 18, 2024 (-427 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jan 17, 2023, registered Jan 13, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 22, 2015, registered Jun 11, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Mar 5, 2007, registered Mar 2, 2007 (-3 days) · Other
- D•••• M•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2023-01-13)Jan 17, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address