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.
P••• L•••• T••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 18, 2025 · Plaistow, Nh
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 1, 2023 to Oct 4, 2024 · North Andover, Ma
- L•• F•••••••• L•• BD affiliatedDec 6, 2018 to Jan 11, 2023 · Waltham, Ma
- C••••••• S••••••••• I••• BD affiliatedSep 25, 2017 to Oct 12, 2018 · Burlington, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2014 to Oct 30, 2015 · Stoneham, Ma
- P•• W••••• M••••••••• BD affiliatedSep 10, 2013 to Jul 31, 2014 · Clearwater, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 2, 2012 to Aug 12, 2013 · Tampa, Fl
- T• A••••••••• I••• formerSep 10, 2012 to Aug 12, 2013 · Tampa, Fl
- S•••••••• A••••••• L•• national BDMar 18, 2011 to Aug 23, 2012 · The Villages, Fl
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 4, 2024, registered Jun 18, 2025 (257 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 11, 2023, registered Feb 1, 2023 (21 days) · RIA to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Oct 12, 2018, registered Dec 6, 2018 (55 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Oct 30, 2015, registered Sep 25, 2017 (696 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 31, 2014, registered Sep 9, 2014 (40 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••left Aug 12, 2013, registered Sep 10, 2013 (29 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 12, 2013, registered Oct 2, 2012 (-314 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Aug 23, 2012, registered Sep 10, 2012 (18 days) · Affiliated broker-dealer or bank to a newly registered adviser
- P••• L•••• T•••••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-06-18)Oct 4, 2024 · Advisor changed firm · fact
- P••• L•••• T•••••• left L•• F•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-02-01)Jan 11, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address