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.
E••••• S• P•••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jun 8, 2026 · Providence, Ri
- R•• C•••••• M••••••• L•• national BDJul 23, 2020 to May 1, 2026 · Wellesley Hills, Ma
- U•• F•••••••• S••••••• I••• wirehouseMar 28, 2005 to Aug 1, 2006 · Boston, Ma
- R•• C•••••• M••••••• L•• to A••••••• F••••••••• L•••left May 1, 2026, registered Jun 8, 2026 (38 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Aug 1, 2006, registered Jul 23, 2020 (5105 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• S• P••••• left R•• C•••••• M••••••• L•• for A••••••• F••••••••• L••• (registered 2026-06-08)May 1, 2026 · 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address