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.
S••• J••••• O•••••
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 19, 2023 · No Quincy, Ma
- L•• F•••••••• L•• BD affiliatedOct 13, 2020 to Feb 13, 2023 · Brockton, Ma
- H••••• M••• I••••••••• I••• no RAUMMay 23, 2017 to Oct 6, 2020 · Stoughton, Ma
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Feb 13, 2023, registered Jan 19, 2023 (-25 days) · RIA to affiliated broker-dealer or bank
- H••••• M••• I••••••••• I••• to L•• F•••••••• L••left Oct 6, 2020, registered Oct 13, 2020 (7 days) · Other
- S••• J••••• O••••• left L•• F•••••••• L•• for C••••••• S••••••••• I••• (registered 2023-01-19)Feb 13, 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
- 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