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•••• R••• S••••••
- K••• P••••• L•• independent RIA currentsince Jan 23, 2023 · North Billerica, Ma
- G•••••• F•••••••• P••••••• formerSep 23, 2020 to May 11, 2023 · Milford, Nh
- C••••• A••••••• L•• formerSep 21, 2016 to Feb 19, 2020 · Westborough, Ma
- N•••••• A•••••••• L•• BD affiliatedAug 5, 2013 to Aug 24, 2016 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerDec 3, 2010 to Jul 25, 2013 · Boston, Ma
- N•• E•••••• S••••••••• C••••••••• formerAug 6, 2010 to Dec 16, 2010 · Boston, Ma
- G•••••• F•••••••• P••••••• to K••• P••••• L••left May 11, 2023, registered Jan 23, 2023 (-108 days) · RIA to RIA · moved with a team
- C••••• A••••••• L•• to G•••••• F•••••••• P•••••••left Feb 19, 2020, registered Sep 23, 2020 (217 days) · Affiliated broker-dealer or bank to independent RIA
- N•••••• A•••••••• L•• to C••••• A••••••• L••left Aug 24, 2016, registered Sep 21, 2016 (28 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to N•••••• A•••••••• L••left Jul 25, 2013, registered Aug 5, 2013 (11 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M••••••• I••••••••• M••••••••• ••• L••left Dec 16, 2010, registered Dec 3, 2010 (-13 days) · Other
- J•••• R••• S•••••• left G•••••• F•••••••• P••••••• for K••• P••••• L•• (registered 2023-01-23)May 11, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address