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•••• M•••••• G••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 2, 2023 · Boston, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• formerMay 25, 2021 to Jun 6, 2023 · Boston, Ma
- J••• M••••• S••••••••• L•• wirehouseMar 18, 2013 to May 27, 2021 · Boston, Ma
- D••••••• B••• S••••••••• I••• no RAUMJun 24, 2009 to Apr 23, 2013 · Boston, Ma
- U•• F•••••••• S••••••• I••• wirehouseAug 20, 1999 to Oct 2, 2003 · Boston, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left Jun 6, 2023, registered Jun 2, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• M••••• S••••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left May 27, 2021, registered May 25, 2021 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••left Apr 23, 2013, registered Mar 18, 2013 (-36 days) · Other
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left Oct 2, 2003, registered Jun 24, 2009 (2092 days) · Other
- S•••• M•••••• G•••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-06-02)Jun 6, 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address