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.
A••••• R•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Kingsland, Ga
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDNov 30, 2016 to Jul 13, 2018 · Merrimack, Nh
- N•••••••• P••••••• A••••••••• I••• independent RIAJun 7, 2016 to Oct 19, 2016 · Waltham, Ma
- L•• F•••••••• L•• BD affiliatedAug 25, 2015 to Oct 13, 2016 · Waltham, Ma
- S•••••••• A••••••• L•• national BDMay 7, 2015 to Jul 31, 2015 · Merrimack, Nh
- 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•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- N•••••••• P••••••• A••••••••• I••• to S•••••••• A••••••• L••left Oct 19, 2016, registered Nov 30, 2016 (42 days) · Other
- L•• F•••••••• L•• to N•••••••• P••••••• A••••••••• I•••left Oct 13, 2016, registered Jun 7, 2016 (-128 days) · Other
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Jul 31, 2015, registered Aug 25, 2015 (25 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address