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.
P•••• T•••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Fitchburg, Ma
- C••• F•••••••• S•••••••• L••• formerDec 6, 2021 to May 15, 2025 · Ayer, Ma
- C••• B•••••••• S•••••••• I••• formerOct 31, 2016 to Dec 10, 2021 · Fitchburg, Ma
- I••••••••• P••••••••• I••• formerJun 16, 2015 to Sep 23, 2016 · North Grafton, Ma
- S•••••••• S••••••••• BD affiliatedMar 18, 2013 to May 27, 2015 · Worcester, Ma
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 8, 2011 to Apr 19, 2012 · West Boylston, Ma
- C••••••• S••••••••• I••• BD affiliatedAug 28, 2008 to Mar 30, 2011 · Franklin, Ma
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 18, 2007 · Middleton, Ma
- M••••• S•••••• D• I••• unclassifiedJun 16, 2006 to Apr 2, 2007 · Danvers, Ma
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Dec 10, 2021, registered Dec 6, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to C••• B•••••••• S•••••••• I•••left Sep 23, 2016, registered Oct 31, 2016 (38 days) · Other
- S•••••••• S••••••••• to I••••••••• P••••••••• I•••left May 27, 2015, registered Jun 16, 2015 (20 days) · Other
- C••••• I••••••••• A••••••• L•• to S•••••••• S•••••••••left Apr 19, 2012, registered Mar 18, 2013 (333 days) · Other
- C••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Mar 30, 2011, registered Aug 8, 2011 (131 days) · Other
- M••••• S•••••• • C•• L•• to C••••••• S••••••••• I•••left Jun 18, 2007, registered Aug 28, 2008 (437 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address