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•••• J•• C••••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2021 · Danvers, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 9, 2015 to May 3, 2021 · Concord, Ma
- I•••••••• C•••••• A••••••• formerJan 12, 2005 to Nov 10, 2015 · Danvers, Ma
- E•••••• P•••• A••••••• I••• unclassifiedOct 6, 2001 to Dec 31, 2004 · Acton, Ma
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left May 3, 2021, registered May 1, 2021 (-2 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to V••• F•••••••• A•••••••• I•••left Nov 10, 2015, registered Nov 9, 2015 (-1 days) · Other · moved with a team
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 12, 2005 (12 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address