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.
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A••••• N••••••• K••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 7, 2023 · Boston, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• formerNov 3, 2017 to Jun 8, 2023 · Boston, Ma
- J••• M••••• S••••••••• L•• wirehouseApr 12, 2013 to Nov 10, 2017 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2006 to Apr 16, 2013 · Wellesley Hills, Ma
- R•• C•••••• M••••••• L•• national BDNov 4, 2003 to Mar 17, 2004 · Wellesley Hills, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• to W•••• F•••• A•••••••left Jun 8, 2023, registered Jun 7, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Nov 10, 2017, registered Nov 3, 2017 (-7 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 16, 2013, registered Apr 12, 2013 (-4 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 17, 2004, registered Sep 22, 2006 (919 days) · Affiliated broker-dealer or bank to wirehouse
- A••••• N••••••• K•••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2023-06-07)Jun 8, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address