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.
R•••••• M••••• E••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 10, 2025 · Woburn, Ma
- O•••• I••••••••• I••• BD affiliatedMay 5, 2014 to Apr 1, 2025 · Meriden, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 18, 2011 to Apr 25, 2014 · Woburn, Ma
- N•• E•••••• I••••••••• • R••••••••• G••••• I••• formerFeb 13, 2006 to Aug 24, 2010 · North Andover, Ma
- C••••••••• F•••••••• N•••••• national BDApr 28, 2005 to Aug 20, 2010 · Rowley, Ma
- E•••••• P•••• A••••••• I••• unclassifiedNov 5, 2003 to Apr 14, 2005 · Danvers, Ma
- W•••••• • R••• formerFeb 27, 2001 to Nov 11, 2003 · Woburn, Ma
- O•••• I••••••••• I••• to C••••• I••••••••• A••••••• L••left Apr 1, 2025, registered Apr 10, 2025 (9 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• I••••••••• I•••left Apr 25, 2014, registered May 5, 2014 (10 days) · Other
- N•• E•••••• I••••••••• • R••••••••• G••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 24, 2010, registered Feb 18, 2011 (178 days) · Other
- C••••••••• F•••••••• N•••••• to N•• E•••••• I••••••••• • R••••••••• G••••• I•••left Aug 20, 2010, registered Feb 13, 2006 (-1649 days) · Other
- E•••••• P•••• A••••••• I••• to C••••••••• F•••••••• N••••••left Apr 14, 2005, registered Apr 28, 2005 (14 days) · Other
- W•••••• • R••• to E•••••• P•••• A••••••• I•••left Nov 11, 2003, registered Nov 5, 2003 (-6 days) · Other
- R•••••• M••••• E•••••••• left O•••• I••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-04-10)Apr 1, 2025 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address