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.
G•••••• H•••• M•••••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Jun 12, 2024 · Palm Beach Gardens, Fl
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 26, 2018 to May 30, 2024 · Worcester, Ma
- O• I••••••••• M••••••••• C• BD affiliatedApr 5, 2016 to Mar 26, 2018 · Worcester, Ma
- O• I••••••••• M••••••••• C• BD affiliatedMay 3, 2012 to Dec 31, 2012 · Worcester, Ma
- K••••• A••••••• S•••••••• L•• to M•••• C••••••• A••••••• S••••••left May 30, 2024, registered Jun 12, 2024 (13 days) · Affiliated broker-dealer or bank to another
- O• I••••••••• M••••••••• C• to K••••• A••••••• S•••••••• L••left Mar 26, 2018, registered Mar 26, 2018 (0 days) · Other
- G•••••• H•••• M••••••• left K••••• A••••••• S•••••••• L•• for M•••• C••••••• A••••••• S•••••• (registered 2024-06-12)May 30, 2024 · 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