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.
C••••••••• W•••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 14, 2018 · Kingston, Ma
- S••••••• I••••••••• I••• formerDec 28, 2015 to Dec 31, 2017 · Kingston, Ma
- S••••••• F•••••••• S•••••••• I••• formerMar 16, 2011 to Dec 28, 2015 · Bellevue, Wa
- O•••• F•• I••• formerNov 14, 2006 to Dec 10, 2010 · Kingston, Ma
- W••••••••• F•••••••• G••••• I••• unclassifiedAug 19, 2005 to Nov 9, 2006 · Kingston, Ma
- W•••••••• F•••••••• S•••••••• L•• unclassifiedNov 10, 2004 to Jul 28, 2005 · Kingston, Ma
- F•• S••••••••• C••••••••• formerJan 1, 2000 to Oct 8, 2004 · Kingston, Ma
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Dec 31, 2017, registered Nov 14, 2018 (318 days) · Other
- S••••••• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Dec 28, 2015, registered Dec 28, 2015 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S••••••• F•••••••• S•••••••• I•••left Dec 10, 2010, registered Mar 16, 2011 (96 days) · Other
- W••••••••• F•••••••• G••••• I••• to O•••• F•• I•••left Nov 9, 2006, registered Nov 14, 2006 (5 days) · Other
- W•••••••• F•••••••• S•••••••• L•• to W••••••••• F•••••••• G••••• I•••left Jul 28, 2005, registered Aug 19, 2005 (22 days) · Other
- F•• S••••••••• C••••••••• to W•••••••• F•••••••• S•••••••• L••left Oct 8, 2004, registered Nov 10, 2004 (33 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address