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.
R••••• C••••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 8, 2018 · Mashpee, Ma
- V•••••• A•••••••• I••• BD affiliatedJan 12, 2011 to Jul 17, 2018 · Mashpee, Ma
- I•••••••• C•••••• A••••••• formerJan 21, 2005 to Jan 11, 2011 · Mashpee, Ma
- E•••••• P•••• A••••••• I••• unclassifiedFeb 27, 2002 to Dec 31, 2004 · Medfield, Ma
- V•••••• A•••••••• I••• to L•• F•••••••• L••left Jul 17, 2018, registered Aug 8, 2018 (22 days) · RIA to RIA
- I•••••••• C•••••• A••••••• to V•••••• A•••••••• I•••left Jan 11, 2011, registered Jan 12, 2011 (1 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 21, 2005 (21 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