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•••••• C•••••• H••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 6, 2020 · Middleton, Ma
- U•• F•••••••• S••••••• I••• wirehouseJun 18, 2008 to Nov 17, 2020 · Wellesley, Ma
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 19, 2008 · Waltham, Ma
- P••••••••• E••••• G••••• L•• unclassifiedMay 22, 2000 to Jul 1, 2003 · Wellesley, Ma
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 17, 2020, registered Nov 6, 2020 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 19, 2008, registered Jun 18, 2008 (-1 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address