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••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jul 31, 2025 · Nashua, Nh
- S••••••• P•••••• A•••••••• L••• institutionalSep 16, 2024 to Mar 13, 2025 · Wakefield, Ma
- C•••••• S••••• • C••• I••• national BDJun 17, 2022 to Sep 20, 2024 · Carmel, In
- S••••••• P•••••• A•••••••• L••• to T• P•••••• C••••• W••••• L••left Mar 13, 2025, registered Jul 31, 2025 (140 days) · Other
- C•••••• S••••• • C••• I••• to S••••••• P•••••• A•••••••• L•••left Sep 20, 2024, registered Sep 16, 2024 (-4 days) · Other
- J••••••• W•••• left S••••••• P•••••• A•••••••• L••• for T• P•••••• C••••• W••••• L•• (registered 2025-07-31)Mar 13, 2025 · Advisor changed firm · fact
- J••••••• W•••• left C•••••• S••••• • C••• I••• for S••••••• P•••••• A•••••••• L••• (registered 2024-09-16)Sep 20, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address