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.
K••• C••••••••• S••••
- B••••••••• • C•••••• W••••• M••••••••• L•• no RAUM currentsince Jul 7, 2026 · Worcester, Ma
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 20, 2024 · Worcester, Ma
- T• G•••• unclassifiedJun 5, 2023 to Jun 4, 2024 · Pepperell, Ma
- G•••••• F•••••••• P••••••• formerDec 8, 2021 to Aug 9, 2022 · Pepperal, Ma
- T• G•••• to C••••••••• F•••••••• N••••••left Jun 4, 2024, registered Feb 20, 2024 (-105 days) · Other
- G•••••• F•••••••• P••••••• to T• G••••left Aug 9, 2022, registered Jun 5, 2023 (300 days) · Other
- K••• C••••••••• S•••• left T• G•••• for C••••••••• F•••••••• N•••••• (registered 2024-02-20)Jun 4, 2024 · Advisor changed firm · fact
- K••• C••••••••• S•••• left G•••••• F•••••••• P••••••• for T• G•••• (registered 2023-06-05)Aug 9, 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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address