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.
P••• R••••• P••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 31, 2017 · Dedham, Ma
- N••• F•••••••• G••••• I••• formerFeb 11, 2010 to Oct 30, 2017 · Houston, Tx
- S••••••••• A•••••• A•••••••• I••• formerJan 12, 2007 to Feb 1, 2010 · Needham, Ma
- W••••••• F•••••••• S•••••••• I••• formerJan 4, 2006 to Jan 5, 2007 · Dover, Nh
- N••• F•••••••• G••••• I••• to C••••••••• F•••••••• N••••••left Oct 30, 2017, registered Oct 31, 2017 (1 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to N••• F•••••••• G••••• I•••left Feb 1, 2010, registered Feb 11, 2010 (10 days) · Other
- W••••••• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 5, 2007, registered Jan 12, 2007 (7 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address