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.
D•••• N••••• T••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 10, 2016 · Marlborough, Ma
- M•••••• independent RIAJun 8, 2015 to Feb 9, 2016 · Worcester, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Feb 2, 2016 · Worcester, Ma
- N•• E•••••• S••••••••• C••••••••• formerMay 15, 1997 to Jan 2, 2015 · Worcester, Ma
- M•••••• to C••••••••• F•••••••• N••••••left Feb 9, 2016, registered Feb 10, 2016 (1 days) · Other
- M•• F•••••••• S•••••••• I••• to M••••••left Feb 2, 2016, registered Jun 8, 2015 (-239 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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