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••• J••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince May 5, 2021 · Danvers, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 18, 2015 to May 3, 2021 · Danvers, Ma
- I•••••••• C•••••• A••••••• formerFeb 10, 2014 to Nov 30, 2015 · Exeter, Nh
- O•••• I••••••••• I••• BD affiliatedJun 27, 2011 to Oct 11, 2013 · Meriden, Ct
- N•• E•••••• S••••••••• C••••••••• formerNov 2, 2009 to Jun 22, 2011 · Boston, Ma
- C••••• I••••••••• S••••••• L•• formerJan 23, 2006 to Jun 26, 2009 · Haverhill, Ma
- C••••• I••••••••• S••••••• L•• formerJan 6, 2006 to Jan 23, 2006 · Haverhill, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedFeb 25, 2004 to Dec 31, 2005 · Needham, Ma
- C••••••• • C••• I••• formerJul 21, 2003 to Feb 20, 2004 · Beverly, Ma
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 3, 2021, registered May 5, 2021 (2 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to V••• F•••••••• A•••••••• I•••left Nov 30, 2015, registered Nov 18, 2015 (-12 days) · Other · moved with a team
- O•••• I••••••••• I••• to I•••••••• C•••••• A•••••••left Oct 11, 2013, registered Feb 10, 2014 (122 days) · Other
- N•• E•••••• S••••••••• C••••••••• to O•••• I••••••••• I•••left Jun 22, 2011, registered Jun 27, 2011 (5 days) · Other
- C••••• I••••••••• S••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jun 26, 2009, registered Nov 2, 2009 (129 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to C••••• I••••••••• S••••••• L••left Dec 31, 2005, registered Jan 6, 2006 (6 days) · Other
- C••••••• • C••• I••• to M•••••• I••••••••• F••• S••••••• L••left Feb 20, 2004, registered Feb 25, 2004 (5 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address