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.
G•••••• J••••• L•••••
- P•••••• C•••••• M••••••••• I•• independent RIA currentsince Jun 4, 2023 · Providence, Ri
- M•••• • C••••• I•• BD affiliatedAug 25, 2015 to May 17, 2023 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 19, 2005 to May 14, 2008 · Providence, Ri
- M•••• • C••••• I•• to P•••••• C•••••• M••••••••• I••left May 17, 2023, registered Jun 4, 2023 (18 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••• • C••••• I••left May 14, 2008, registered Aug 25, 2015 (2659 days) · Other
- G•••••• J••••• L••••• left M•••• • C••••• I•• for P•••••• C•••••• M••••••••• I•• (registered 2023-06-04)May 17, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address