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•••• P•••• B•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Osterville, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Osterville, Ma
- M•••••• independent RIAJun 10, 2013 to Apr 5, 2018 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerJun 4, 2013 to Jan 2, 2015 · Boston, Ma
- B••••• W••••• M••••••••• I••• unclassifiedJan 2, 2008 to Dec 6, 2010 · Sandwich, Ma
- L•• F•••••••• L•• BD affiliatedJan 12, 2006 to Jun 5, 2013 · Sandwich, Ma
- W••••• F•••••••• S••••••• unclassifiedJan 27, 2001 to Oct 18, 2007 · Bellingham, Ma
- M•••••• to M•• F•••••••• S•••••••• I•••left Apr 5, 2018, registered Jan 2, 2015 (-1189 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Jun 10, 2013 (-571 days) · Other · moved with a team
- L•• F•••••••• L•• to B••••• W••••• M••••••••• I•••left Jun 5, 2013, registered Jan 2, 2008 (-1981 days) · Other
- B••••• W••••• M••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Dec 6, 2010, registered Jun 4, 2013 (911 days) · Other
- W••••• F•••••••• S••••••• to L•• F•••••••• L••left Oct 18, 2007, registered Jan 12, 2006 (-644 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
- 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