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.
M•••••• D•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 29, 2024 · Wakefield, Ma
- H•••••••• A•••••••• L•• BD affiliatedAug 1, 2023 to Mar 7, 2024 · Chicago, Il
- B••••• H••• A•••••••• L•• formerJun 28, 2022 to Nov 2, 2023 · North Andover, Ma
- L•• F•••••••• L•• BD affiliatedMay 14, 2021 to Jun 29, 2022 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerMar 2, 2021 to Apr 22, 2021 · Fitchburg, Ma
- L•• F•••••••• L•• BD affiliatedJul 2, 2019 to Mar 12, 2021 · Tyngsboro, Ma
- C••••••••• F•••••••• N•••••• national BDJan 23, 2019 to Jun 12, 2019 · Southborough, Ma
- L•• F•••••••• L•• BD affiliatedAug 22, 2016 to Dec 13, 2018 · Marlborough, Ma
- S•••••••• A••••••• L•• national BDNov 8, 2013 to Nov 2, 2015 · Merrimack, Nh
- H•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 7, 2024, registered Feb 29, 2024 (-7 days) · Affiliated broker-dealer or bank to another
- B••••• H••• A•••••••• L•• to H•••••••• A•••••••• L••left Nov 2, 2023, registered Aug 1, 2023 (-93 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to B••••• H••• A•••••••• L••left Jun 29, 2022, registered Jun 28, 2022 (-1 days) · RIA to RIA
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Apr 22, 2021, registered May 14, 2021 (22 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 12, 2021, registered Mar 2, 2021 (-10 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Jun 12, 2019, registered Jul 2, 2019 (20 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 13, 2018, registered Jan 23, 2019 (41 days) · RIA to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Nov 2, 2015, registered Aug 22, 2016 (294 days) · Other
- M•••••• D••••• left H•••••••• A•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-02-29)Mar 7, 2024 · Advisor changed firm · fact
- M•••••• D••••• left B••••• H••• A•••••••• L•• for H•••••••• A•••••••• L•• (registered 2023-08-01)Nov 2, 2023 · Advisor changed firm · fact
- M•••••• D••••• left L•• F•••••••• L•• for B••••• H••• A•••••••• L•• (registered 2022-06-28)Jun 29, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address