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.
N••••• D• B••••••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Oct 20, 2025 · Leominster, Ma
- E•••••••• A•••••••• L•• national BDJan 10, 2024 to Aug 14, 2025 · Wellesley, Ma
- O•••• F•• I••• formerAug 29, 2007 to Dec 4, 2023 · Fitchburg, Ma
- E•••••••• A•••••••• L•• to P••••••••• S••••••••• C•••••••••left Aug 14, 2025, registered Oct 20, 2025 (67 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• F•• I••• to E•••••••• A•••••••• L••left Dec 4, 2023, registered Jan 10, 2024 (37 days) · Affiliated broker-dealer or bank to another
- N••••• D• B•••••• left E•••••••• A•••••••• L•• for P••••••••• S••••••••• C••••••••• (registered 2025-10-20)Aug 14, 2025 · Advisor changed firm · fact
- N••••• D• B•••••• left O•••• F•• I••• for E•••••••• A•••••••• L•• (registered 2024-01-10)Dec 4, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address