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.
W•••••• B••••• P••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Seekonk, Ma
- C••••••••• F•••••••• N•••••• national BDApr 21, 2017 to May 30, 2025 · Seekonk, Ma
- W•••• F•••• A••••••• wirehouseJan 28, 2016 to Apr 24, 2017 · Providence, Ri
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Jul 29, 2015 · East Providence, Ri
- M•••••• independent RIAJul 9, 2014 to Jul 28, 2015 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerApr 3, 2014 to Jan 2, 2015 · East Providence, Ri
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left May 30, 2025, registered Jun 5, 2025 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Apr 24, 2017, registered Apr 21, 2017 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jul 29, 2015, registered Jan 28, 2016 (183 days) · Other
- M•••••• to M•• F•••••••• S•••••••• I•••left Jul 28, 2015, registered Jan 2, 2015 (-207 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Jul 9, 2014 (-177 days) · Other · moved with a team
- W•••••• B••••• P•••• left C••••••••• F•••••••• N•••••• for L•• F•••••••• L•• (registered 2025-06-05)May 30, 2025 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address