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.
M•••••• S••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bedford, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 27, 2021 to Mar 31, 2025 · Merrimack, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDJul 23, 2020 to Aug 6, 2021 · Nashua, Nh
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 17, 2019 to Jul 17, 2020 · Boston, Ma
- T• A••••••••• I••• formerSep 17, 2019 to Jul 17, 2020 · Boston, Ma
- C•••••• S••••• • C••• I••• national BDJun 19, 2018 to Aug 1, 2019 · Burlington, Ma
- S•••••••• A••••••• L•• national BDJul 14, 2015 to Jun 7, 2017 · Merrimack, Nh
- 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••••••••• F•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 6, 2021, registered Sep 27, 2021 (52 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 17, 2020, registered Sep 17, 2019 (-304 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 17, 2020, registered Jul 23, 2020 (6 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 1, 2019, registered Sep 17, 2019 (47 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Jun 7, 2017, registered Jun 19, 2018 (377 days) · Affiliated broker-dealer or bank to another
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address