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.
N••••••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 6, 2025 · Auburn, Ma
- I• A••••••• S•••••••• I••• formerMay 17, 2016 to Mar 6, 2025 · Auburn, Ma
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 11, 2010 to May 2, 2016 · San Diego, Ca
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 14, 2007 to Jun 25, 2008 · Wallingford, Ct
- O••• I••••••••• M••••••••• I••• formerSep 2, 2005 to Aug 23, 2006 · Worcester, Ma
- I• A••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to I• A••••••• S•••••••• I•••left May 2, 2016, registered May 17, 2016 (15 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jun 25, 2008, registered Feb 11, 2010 (596 days) · Other
- O••• I••••••••• M••••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Aug 23, 2006, registered Nov 14, 2007 (448 days) · Other
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address