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.
H•••••• K••• D•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Boston, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Worcester, Ma
- M•••••• independent RIAJul 27, 2010 to Jul 28, 2016 · Overland Park,, Ks
- B••••••• F•••••••• P••••••• unclassifiedAug 31, 2004 to Jan 29, 2020 · Boston, Ma
- N•• E•••••• S••••••••• C••••••••• formerFeb 23, 2004 to Jan 2, 2015 · Worcester, Ma
- B••••••• F•••••••• P••••••• to M••••••left Jan 29, 2020, registered Jul 27, 2010 (-3473 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
- M•••••• to M•• F•••••••• S•••••••• I•••left Jul 28, 2016, registered Jan 2, 2015 (-573 days) · Other
- N•• E•••••• S••••••••• C••••••••• to B••••••• F•••••••• P•••••••left Jan 2, 2015, registered Aug 31, 2004 (-3776 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address