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.
B••••••• H••••• L••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Salem, Nh
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Salem, Nh
- I••••••••• A••••••• S••••••• I•• formerFeb 17, 2017 to Jul 17, 2020 · Miami, Fl
- C••••• A••••••• L•• formerOct 3, 2016 to Feb 17, 2017 · Salem, Nh
- I•••••••• C•••••• A••••••• formerJan 8, 2007 to Oct 3, 2016 · Lynnfield, Ma
- C••••••••• F•••••••• N•••••• national BDJan 14, 2004 to Dec 31, 2006 · Salem, Nh
- G•••••• S•••• W••••• M••••••••• unclassifiedDec 8, 2003 to Dec 31, 2006 · Salem, Nh
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to I••••••••• A••••••• S••••••• I••left Feb 17, 2017, registered Feb 17, 2017 (0 days) · Other
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C••••••••• F•••••••• N•••••• to I•••••••• C•••••• A•••••••left Dec 31, 2006, registered Jan 8, 2007 (8 days) · Other
- G•••••• S•••• W••••• M••••••••• to C••••••••• F•••••••• N••••••left Dec 31, 2006, registered Jan 14, 2004 (-1082 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