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.
B•••• D•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 22, 2022 · Burlington, Ma
- P••••••• P•••••• W•••••• L•• formerDec 15, 2016 to Sep 22, 2022 · Burlington, Ma
- S•••••••• S••••••••• BD affiliatedSep 26, 2012 to Dec 21, 2016 · Wakefield, Ma
- L•• F•••••••• L•• BD affiliatedApr 29, 2009 to Sep 19, 2012 · Bedford, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 22, 2006 to Nov 20, 2007 · Burlington, Ma
- P••••••• P•••••• W•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 22, 2022, registered Sep 22, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• S••••••••• to P••••••• P•••••• W•••••• L••left Dec 21, 2016, registered Dec 15, 2016 (-6 days) · Other · moved with a team
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 26, 2012 (7 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 20, 2007, registered Apr 29, 2009 (526 days) · Other
- B•••• D••••• left P••••••• P•••••• W•••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-09-22)Sep 22, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address