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•••••• BD affiliated currentsince Jul 1, 2022 · Boston, Ma
- T••••• W••••• M••••••••• P••••••• formerFeb 21, 2014 to Oct 3, 2022 · Cambridge, Ma
- N•• C•••••• L•• formerAug 21, 2008 to Sep 4, 2014 · Boston, Ma
- T••••• I••••••••• A••••••••• unclassifiedMay 4, 1992 to Aug 6, 2008 · Boston, Ma
- T••••• W••••• M••••••••• P••••••• to M••••••left Oct 3, 2022, registered Jul 1, 2022 (-94 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N•• C•••••• L•• to T••••• W••••• M••••••••• P•••••••left Sep 4, 2014, registered Feb 21, 2014 (-195 days) · Other
- T••••• I••••••••• A••••••••• to N•• C•••••• L••left Aug 6, 2008, registered Aug 21, 2008 (15 days) · Other
- H••• R•••••• T••••• left T••••• W••••• M••••••••• P••••••• for Mariner (registered 2022-07-01)Oct 3, 2022 · 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address