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•••••• S••••••••
- O•••• I••••••••• I••• BD affiliated currentsince May 2, 2011 · Boston, Ma
- M••••••••• C••••••• L•• unclassifiedDec 6, 2010 to Apr 6, 2011 · Beverly, Ma
- C••••••• S••••••••• I••• BD affiliatedAug 3, 2007 to Oct 22, 2009 · Brighton, Ma
- I•••••••• C•••••• A••••••• formerJul 7, 2004 to Nov 8, 2006 · Beverly, Ma
- E•••••• P•••• A••••••• I••• unclassifiedOct 23, 1998 to Jun 14, 2004 · Lynnfield, Ma
- M••••••••• C••••••• L•• to O•••• I••••••••• I•••left Apr 6, 2011, registered May 2, 2011 (26 days) · Other
- C••••••• S••••••••• I••• to M••••••••• C••••••• L••left Oct 22, 2009, registered Dec 6, 2010 (410 days) · Other
- I•••••••• C•••••• A••••••• to C••••••• S••••••••• I•••left Nov 8, 2006, registered Aug 3, 2007 (268 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Jun 14, 2004, registered Jul 7, 2004 (23 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address