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.
J••••• L•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Scituate, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 12, 2021 to Mar 31, 2025 · Smithfield, Ri
- S•••••••• S••••••••• BD affiliatedAug 6, 2018 to Sep 1, 2021 · Boston, Ma
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jun 29, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerJun 13, 2014 to Jan 8, 2018 · Tampa, Fl
- P•• W••••• M••••••••• BD affiliatedJan 30, 2013 to May 30, 2013 · Exton, Pa
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedNov 1, 2007 to Jan 16, 2013 · Owings Mills, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 1, 2021, registered Nov 12, 2021 (72 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to S•••••••• S•••••••••left Jun 29, 2018, registered Aug 6, 2018 (38 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to U••• F•••••••• P••••••• S•••••••left May 30, 2013, registered Jun 13, 2014 (379 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jan 16, 2013, registered Jan 30, 2013 (14 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address