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•••••••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 17, 2006 · Beverly, Ma
- F••••••• F•••••••• A••••••••• I••• formerJul 17, 2006 to Nov 19, 2008 · Peabody, Ma
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Oct 6, 2005 · Peabody, Ma
- F••••••• F•••••••• A••••••••• I••• to L•• F•••••••• L••left Nov 19, 2008, registered Jul 17, 2006 (-856 days) · Other
- U•• F•••••••• S••••••• I••• to F••••••• F•••••••• A••••••••• I•••left Oct 6, 2005, registered Jul 17, 2006 (284 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address