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•••• C•••••• R•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 27, 2023 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2009 to Apr 20, 2023 · Worcester, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · West Boylston, Ma
- Q•••• • R•••••• I••• unclassifiedAug 30, 2004 to Oct 20, 2004 · Worcester, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 20, 2023, registered Apr 27, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Nov 5, 2009 (13 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- J•••• C•••••• R••••••• added a TX registration at R•••••• J•••• • A••••••••• I•••Sep 17, 2026 · New state registration · fact
- J•••• C•••••• R••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-04-27)Apr 20, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address