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.
J••• W••••••• F••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Apr 22, 2025 · Southborough, Ma
- N•••• W••••• M••••••••• L•• formerNov 10, 2021 to Sep 20, 2022 · North Andover, Ma
- N•• E•••••• I••••••••• • R••••••••• G••••• I••• formerMar 16, 2021 to Nov 1, 2021 · North Andover, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 20, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 6, 2017 to Jul 13, 2018 · Westwood, Ma
- M••••• L•• independent RIAOct 20, 2014 to Jun 11, 2015 · Boston, Ma
- N•••• W••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Sep 20, 2022, registered Apr 22, 2025 (945 days) · RIA to affiliated broker-dealer or bank
- N•• E•••••• I••••••••• • R••••••••• G••••• I••• to N•••• W••••• M••••••••• L••left Nov 1, 2021, registered Nov 10, 2021 (9 days) · RIA to a newly registered adviser · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to N•• E•••••• I••••••••• • R••••••••• G••••• I•••left Sep 20, 2019, registered Mar 16, 2021 (543 days) · Affiliated broker-dealer or bank to independent RIA
- 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
- M••••• L•• to S•••••••• A••••••• L••left Jun 11, 2015, registered Jun 6, 2017 (726 days) · Other
- J••• W••••••• F•••• left N•••• W••••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-04-22)Sep 20, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address