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•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 18, 2023 · Enfield, Ct
- U•• A••••••• i••••••••• managerJun 30, 2020 to Dec 31, 2022 · Glastonbury, Ct
- U•• F•••••••• S••••••• I••• wirehouseApr 2, 2018 to Aug 7, 2019 · Concord, Nh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 2, 2016 to Sep 30, 2016 · York, Me
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• formerApr 20, 2006 to Apr 18, 2016 · Boston, Ma
- A••••• A•••• M••••••••• U•• I••• formerAug 19, 2004 to Apr 20, 2006 · Boston, Ma
- U•• A••••••• to J••• M••••• S••••••••• L••left Dec 31, 2022, registered Apr 18, 2023 (108 days) · Other
- U•• F•••••••• S••••••• I••• to U•• A•••••••left Aug 7, 2019, registered Jun 30, 2020 (328 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•• F•••••••• S••••••• I•••left Sep 30, 2016, registered Apr 2, 2018 (549 days) · Other
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 18, 2016, registered Sep 2, 2016 (137 days) · Other
- A••••• A•••• M••••••••• U•• I••• to A••••• P•••••• I••••••••• A•••• M••••••••• I•••left Apr 20, 2006, registered Apr 20, 2006 (0 days) · corporate re-registration, not a move
- S••• M•••••• G••••••• left U•• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-04-18)Dec 31, 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address