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••••• C•••••• M•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Chatham, Ma
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 15, 2022 to Apr 8, 2025 · Boston, Ma
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Aug 23, 2022 · Boston, Ma
- D••••••• B••• S••••••••• I••• no RAUMMar 23, 2011 to Sep 6, 2016 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 18, 2009 to Mar 22, 2011 · Wellesley Hills, Ma
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Jun 30, 2009 · Boston, Ma
- P••••••• L•• unclassifiedJul 25, 2002 to Jan 17, 2003 · Boston, Ma
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 8, 2025, registered Apr 4, 2025 (-4 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Aug 23, 2022, registered Sep 15, 2022 (23 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Mar 22, 2011, registered Mar 23, 2011 (1 days) · Other
- C••••• S••••• S••••••••• •••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2009, registered Jun 18, 2009 (-12 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- J••••• C•••••• M••••• left R•••••• J•••• • A••••••••• I••• for B• R•••• W••••• A•••••••• I••• (registered 2022-09-15)Aug 23, 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
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address