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.
T•••••• D•••
- T•• F•••••••• A••••••• independent RIA currentsince Mar 27, 2025 · Tewksbury, Ma
- D••••• W•••••• L•• independent RIAJun 1, 2022 to Jan 16, 2025 · Amesbury, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliatedDec 15, 2020 to Apr 1, 2022 · Boston, Ma
- D••••• W•••••• L•• to T•• F•••••••• A•••••••left Jan 16, 2025, registered Mar 27, 2025 (70 days) · RIA to RIA
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• to D••••• W•••••• L••left Apr 1, 2022, registered Jun 1, 2022 (61 days) · Affiliated broker-dealer or bank to independent RIA
- Timothy Dick left Dakota Wealth, Llc for The Fiduciary Alliance (registered 2025-03-27)Jan 16, 2025 · Advisor changed firm · fact
- Timothy Dick left John Hancock Personal Financial Services, Llc for Dakota Wealth, Llc (registered 2022-06-01)Apr 1, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address