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.
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J•••• H••••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 9, 2024 · Braintree, Ma
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Jul 5, 2024 · Braintree, Ma
- S•••••••• F••••••••• I••• formerAug 2, 2022 to Sep 1, 2023 · Braintree, Ma
- S••••••• F•••••••• S•••••••• I••• formerOct 2, 2019 to Aug 19, 2022 · Braintree, Ma
- H•••••• T••••••• • K•••• L•• independent RIADec 11, 2015 to Jan 22, 2018 · Braintree, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Nov 24, 2015 · Springfield, Ma
- M•••••• independent RIAOct 22, 2013 to Nov 20, 2015 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerOct 11, 2013 to Jan 2, 2015 · Marshfield, Ma
- O•••• W•••••• I••• to L•• F•••••••• L••left Jul 5, 2024, registered Jul 9, 2024 (4 days) · corporate re-registration, not a move
- 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
- H•••••• T••••••• • K•••• L•• to S••••••• F•••••••• S•••••••• I•••left Jan 22, 2018, registered Oct 2, 2019 (618 days) · Other
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Nov 24, 2015, registered Dec 11, 2015 (17 days) · Other
- M•••••• to M•• F•••••••• S•••••••• I•••left Nov 20, 2015, registered Jan 2, 2015 (-322 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Oct 22, 2013 (-437 days) · Other · moved with a team
- J•••• H••••• R••• 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address