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.
M•••••• P•••••
- M• S••••• C••••••• L•• state registered currentsince Mar 20, 2015 · Dallas, Tx
- C••••••••• F•••••••• N•••••• national BDMay 8, 2023 to Nov 2, 2023 · Boston, Ma
- P• G••••• A••••••• formerMay 27, 2008 to Dec 31, 2017 · Beverly Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 1, 2004 to May 19, 2008 · Boston, Ma
- C••••••••• F•••••••• N•••••• to no registered destinationleft Nov 2, 2023 · Departure, no registered destination
- P• G••••• A••••••• to M• S••••• C••••••• L••left Dec 31, 2017, registered Mar 20, 2015 (-1017 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P• G••••• A•••••••left May 19, 2008, registered May 27, 2008 (8 days) · Other
- M•••••• P••••• no longer registered at C••••••••• F•••••••• N••••••; no later IA registration on IAPDNov 2, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address