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.
N••••••• P••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Nov 27, 2024 · West Warwick, Ri
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMar 23, 2023 to Sep 7, 2023 · Braintree, Ma
- C••••••• S••••••••• I••• BD affiliatedMar 1, 2021 to Feb 1, 2023 · Hudson, Ma
- P•••• S••••••••• L•• no RAUMFeb 16, 2018 to Jan 29, 2020 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2013 to Jan 31, 2017 · Lincoln, Ri
- M••••• O• O•••• I••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Sep 7, 2023, registered Nov 27, 2024 (447 days) · RIA to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Feb 1, 2023, registered Mar 23, 2023 (50 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• S••••••••• L•• to C••••••• S••••••••• I•••left Jan 29, 2020, registered Mar 1, 2021 (397 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Jan 31, 2017, registered Feb 16, 2018 (381 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••• P•••• left M••••• O• O•••• I••••••• S•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-11-27)Sep 7, 2023 · Advisor changed firm · fact
- N••••••• P•••• left C••••••• S••••••••• I••• for M••••• O• O•••• I••••••• S•••••••• I••• (registered 2023-03-23)Feb 1, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address