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.
W•••••• J•••• O•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 31, 2024 · Naples, Fl
- C••••••••• F•••••••• N•••••• national BDDec 9, 2002 to Jan 15, 2015 · Falmouth, Ma
- E•••• S••••••••• L•• BD affiliatedJan 15, 2000 to Jan 10, 2003 · Waltham, Ma
- C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••left Jan 15, 2015, registered Jan 31, 2024 (3303 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to C••••••••• F•••••••• N••••••left Jan 10, 2003, registered Dec 9, 2002 (-32 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