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•••••• I• G••••••
- E•• F•••••••• A••••••• independent RIA currentsince Sep 4, 2024 · Coventry, Ri
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Sep 6, 2024 · Needham Heights, Ma
- S•••••••• F••••••••• I••• formerAug 2, 2022 to Sep 1, 2023 · Braintree, Ma
- S••••••• F•••••••• S•••••••• I••• formerNov 22, 2021 to Aug 19, 2022 · Braintree, Ma
- P••• A••••• S••••••••• L•• BD affiliatedDec 11, 2017 to Dec 8, 2021 · Cranston, Ri
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 19, 2017 · East Providence, Ri
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · East Providence, Ri
- M•••••• independent RIAAug 9, 2011 to Jan 25, 2018 · Overland P•••,, Ks
- N•• E•••••• S••••••••• C••••••••• formerAug 8, 2011 to Jan 2, 2015 · East Providence, Ri
- M••••• S•••••• wirehouseDec 24, 2009 to Jul 7, 2011 · Mystic, Ct
- O•••• W•••••• I••• to E•• F•••••••• A•••••••left Sep 6, 2024, registered Sep 4, 2024 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Aug 19, 2022, registered Aug 2, 2022 (-17 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P••• A••••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Dec 8, 2021, registered Nov 22, 2021 (-16 days) · Affiliated broker-dealer or bank to another
- M•••••• to M•• F•••••••• S•••••••• I•••left Jan 25, 2018, registered Jan 2, 2015 (-1119 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Dec 19, 2017, registered Dec 11, 2017 (-8 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Aug 9, 2011 (-1242 days) · Other · moved with a team
- M••••• S•••••• to N•• E•••••• S••••••••• C•••••••••left Jul 7, 2011, registered Aug 8, 2011 (32 days) · Other
- M•••••• I• G•••••• left O•••• W•••••• I••• for E•• F•••••••• A••••••• (registered 2024-09-04)Sep 6, 2024 · Advisor changed firm · fact
- M•••••• I• G•••••• left S••••••• F•••••••• S•••••••• I••• for S•••••••• F••••••••• I••• (registered 2022-08-02)Aug 19, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address