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.
B•••• B••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jan 6, 2025 · Medfield, Ma
- P••• A••••• S••••••••• L•• BD affiliatedJun 10, 2024 to Sep 30, 2024 · Middleton, Ma
- C••••••• S••••••••• I••• BD affiliatedAug 29, 2023 to May 30, 2024 · Johnston, Ri
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 30, 2024, registered Jan 6, 2025 (98 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left May 30, 2024, registered Jun 10, 2024 (11 days) · Affiliated broker-dealer or bank to another
- B•••• B•••••• left P••• A••••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-01-06)Sep 30, 2024 · Advisor changed firm · fact
- B•••• B•••••• left C••••••• S••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2024-06-10)May 30, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address