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.
D•••• M•••••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 27, 2017 · Ware, Ma
- S•••••••• S••••••••• BD affiliatedJul 1, 2014 to Mar 21, 2017 · Oxford, Ma
- L•• F•••••••• L•• BD affiliatedSep 5, 2012 to May 27, 2014 · Marlborough, Ma
- C••• F•••••••• S•••••••• L••• formerOct 24, 2011 to Sep 6, 2012 · Northampton, Ma
- C••• B•••••••• S•••••••• I••• formerOct 8, 2010 to Oct 28, 2011 · Southbridge, Ma
- P•• C•••••• A•••••••• I••• unclassifiedJan 17, 2003 to Jul 26, 2005 · Baltimore, Md
- S•••••••• S••••••••• to L•• F•••••••• L••left Mar 21, 2017, registered Mar 27, 2017 (6 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left May 27, 2014, registered Jul 1, 2014 (35 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Sep 6, 2012, registered Sep 5, 2012 (-1 days) · Other
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 28, 2011, registered Oct 24, 2011 (-4 days) · Other
- P•• C•••••• A•••••••• I••• to C••• B•••••••• S•••••••• I•••left Jul 26, 2005, registered Oct 8, 2010 (1900 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address