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.
C••••••••• W• L•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Framingham, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 16, 2022 to Mar 31, 2025 · Framingham, Ma
- A••••••• A••••••• S••••••• formerSep 12, 2019 to Apr 22, 2021 · Boston, Ma
- I•••••• A•••••••• I••• asset managerNov 1, 2018 to May 30, 2019 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 17, 2017 to May 21, 2018 · Boston, Ma
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerJan 28, 2014 to Jan 11, 2017 · Boston, Ma
- 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
- A••••••• A••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 22, 2021, registered Jun 16, 2022 (420 days) · Affiliated broker-dealer or bank to another
- I•••••• A•••••••• I••• to A••••••• A••••••• S•••••••left May 30, 2019, registered Sep 12, 2019 (105 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I•••••• A•••••••• I•••left May 21, 2018, registered Nov 1, 2018 (164 days) · Other
- C••••••• M••••••••• I••••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2017, registered Feb 17, 2017 (37 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address