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••••• G• B••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 25, 2022 · Waltham, Ma
- S•••• F•••••••• L•• independent RIAJun 16, 2020 to Jul 1, 2021 · Waltham, Ma
- E•••••• C•••••• M••••••••• L•• formerFeb 22, 2019 to Jan 2, 2020 · Boston, Ma
- S••••••• I••••••••• A•••••••• I••• otherJan 24, 2001 to Jan 4, 2019 · Woburn, Ma
- S•••• F•••••••• L•• to C••••••••• F•••••••• N••••••left Jul 1, 2021, registered Jan 25, 2022 (208 days) · RIA to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to S•••• F•••••••• L••left Jan 2, 2020, registered Jun 16, 2020 (166 days) · RIA to RIA
- S••••••• I••••••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••left Jan 4, 2019, registered Feb 22, 2019 (49 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