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.
R•••••• S• L••••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Sep 2, 2025 · Portsmouth, Nh
- L•••••• I••••••••• independent RIANov 20, 2024 to Sep 2, 2025 · Waltham, Ma
- C•••••• A••••••• BD affiliatedFeb 23, 2015 to Sep 2, 2025 · Waltham, Ma
- C•••••• A••••••• to L•••••• I•••••••••left Sep 2, 2025, registered Nov 20, 2024 (-286 days) · Affiliated broker-dealer or bank to independent RIA
- L•••••• I••••••••• to S•••••••• A•••••••• L••left Sep 2, 2025, registered Sep 2, 2025 (0 days) · RIA to affiliated broker-dealer or bank
- R•••••• S• L•••••• left L•••••• I••••••••• for S•••••••• A•••••••• L•• (registered 2025-09-02)Sep 2, 2025 · Advisor changed firm · fact
- R•••••• S• L•••••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2024-11-20)Sep 2, 2025 · 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