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.
- L•• F•••••••• L•• BD affiliated currentsince Mar 6, 2025 · Oxford, Ma
- I• A••••••• S•••••••• I••• formerAug 22, 2017 to Mar 6, 2025 · Webster, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 21, 2017 · Webster, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Webster, Ma
- M•••••• independent RIASep 23, 2013 to Jul 18, 2017 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerAug 14, 2013 to Jan 2, 2015 · Webster, Ma
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedOct 1, 2010 to Aug 20, 2013 · Ave Maria, Fl
- O•••• F•• I••• formerMar 12, 2003 to Apr 13, 2006 · Southbridge, Ma
- P•••••• A••••••• S••••••• I•• unclassifiedNov 2, 1999 to Mar 21, 2003 · Dudley, Ma
- I• A••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 6, 2025, registered Mar 6, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to I• A••••••• S•••••••• I•••left Jul 21, 2017, registered Aug 22, 2017 (32 days) · Other
- M•••••• to M•• F•••••••• S•••••••• I•••left Jul 18, 2017, registered Jan 2, 2015 (-928 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Sep 23, 2013 (-466 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Aug 20, 2013, registered Aug 14, 2013 (-6 days) · Other
- O•••• F•• I••• to T••••••••• F•••••••• A•••••••• L••left Apr 13, 2006, registered Oct 1, 2010 (1632 days) · Other
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Mar 21, 2003, registered Mar 12, 2003 (-9 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address