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.
H•••• J••••••• W•••••••••
- S••••••••• P•••••••• L•• independent RIA currentsince Nov 17, 2023 · Braintree, Ma
- M••••• S•••••• wirehouseSep 11, 2015 to Nov 28, 2023 · Norwell, Ma
- U•• F•••••••• S••••••• I••• wirehouseOct 13, 2008 to Sep 22, 2015 · Rockland, Ma
- M••••• S•••••• to S••••••••• P•••••••• L••left Nov 28, 2023, registered Nov 17, 2023 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 22, 2015, registered Sep 11, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
- H•••• J••••••• W••••••••• left M••••• S•••••• for S••••••••• P•••••••• L•• (registered 2023-11-17)Nov 28, 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address