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.
R••••• M•••••• C••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Mar 24, 2021 · Boston, Ma
- W••••••• E•••• • C••••••• I••• formerJan 20, 2011 to Apr 13, 2021 · Boston, Ma
- L•••••• S•••• L•• formerMar 16, 2009 to Jan 20, 2011 · Boston, Ma
- R•• C•••••• M••••••• L•• national BDApr 19, 2006 to Mar 25, 2009 · Wellesley Hills, Ma
- W••••••• E•••• • C••••••• I••• to B• R•••• W••••• A•••••••• I•••left Apr 13, 2021, registered Mar 24, 2021 (-20 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•••••• S•••• L•• to W••••••• E•••• • C••••••• I•••left Jan 20, 2011, registered Jan 20, 2011 (0 days) · Other
- R•• C•••••• M••••••• L•• to L•••••• S•••• L••left Mar 25, 2009, registered Mar 16, 2009 (-9 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address