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.
D•••• K•••• M••••••
- C••••• K••••• A••••••• G••••• L•• independent RIA currentsince Oct 5, 2022 · Acton, Ma
- P•••• S••••••••• L•• no RAUMJul 12, 2021 to Oct 4, 2022 · Marlborough, Ma
- I••••••••• A•••••• G•••• independent RIAMar 2, 2021 to Jul 1, 2021 · North Attleboro, Ma
- T•• I••••••••• A•••••• A••••••• L•• formerJan 4, 2021 to Feb 28, 2021 · North Attleboro, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 28, 2018 to Feb 4, 2019 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 8, 2005 to Aug 14, 2006 · Lincoln, Ri
- P•••• S••••••••• L•• to C••••• K••••• A••••••• G••••• L••left Oct 4, 2022, registered Oct 5, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A•••••• G•••• to P•••• S••••••••• L••left Jul 1, 2021, registered Jul 12, 2021 (11 days) · RIA to affiliated broker-dealer or bank
- T•• I••••••••• A•••••• A••••••• L•• to I••••••••• A•••••• G••••left Feb 28, 2021, registered Mar 2, 2021 (2 days) · RIA to a newly registered adviser
- M•• I•••••••• S•••••••• L•• to T•• I••••••••• A•••••• A••••••• L••left Feb 4, 2019, registered Jan 4, 2021 (700 days) · Affiliated broker-dealer or bank to independent RIA
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Aug 14, 2006, registered Mar 28, 2018 (4244 days) · Other
- D•••• K•••• M•••••• left P•••• S••••••••• L•• for C••••• K••••• A••••••• G••••• L•• (registered 2022-10-05)Oct 4, 2022 · a•••••• firm change · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address