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.
- L•• E••••••••• L•• BD affiliated currentsince Apr 10, 2025 · East Falmouth, Ma
- E•••••• A••••••• G••••• L•• BD affiliatedJun 16, 2022 to Oct 27, 2023 · Greenwood Village, Co
- C••••• W••••• M••••••••• I••• independent RIAFeb 6, 2017 to Jun 2, 2022 · Plymouth, Ma
- I••••••••• P••••••••• I••• formerOct 27, 2014 to Jan 5, 2017 · Falmouth, Ma
- P••••••••• S••••••••• C••••••••• independent RIAJan 28, 2014 to Oct 20, 2014 · Farmingville, Ny
- I••••••••• A••••••• A•••• M••••••••• L•• formerOct 15, 2007 to Jan 6, 2014 · Easton, Pa
- E•••••• A••••••• G••••• L•• to L•• E••••••••• L••left Oct 27, 2023, registered Apr 10, 2025 (531 days) · Affiliated broker-dealer or bank to another
- C••••• W••••• M••••••••• I••• to E•••••• A••••••• G••••• L••left Jun 2, 2022, registered Jun 16, 2022 (14 days) · RIA to affiliated broker-dealer or bank
- I••••••••• P••••••••• I••• to C••••• W••••• M••••••••• I•••left Jan 5, 2017, registered Feb 6, 2017 (32 days) · Other
- P••••••••• S••••••••• C••••••••• to I••••••••• P••••••••• I•••left Oct 20, 2014, registered Oct 27, 2014 (7 days) · Other
- I••••••••• A••••••• A•••• M••••••••• L•• to P••••••••• S••••••••• C•••••••••left Jan 6, 2014, registered Jan 28, 2014 (22 days) · Other
- P••• H••••• left E•••••• A••••••• G••••• L•• for L•• E••••••••• L•• (registered 2025-04-10)Oct 27, 2023 · Advisor changed firm · fact
- P••• H••••• left C••••• W••••• M••••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2022-06-16)Jun 2, 2022 · 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