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•••• M•••••• D•••••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 24, 2020 · Chicago, Il
- A••••• W••••• M••••••••• L•• formerFeb 10, 2014 to Nov 16, 2020 · Waltham, Ma
- A••••• W••••• M••••••••• I••• formerApr 19, 1994 to Feb 27, 2014 · Waltham, Ma
- A••••• W••••• M••••••••• L•• to H•••••••• A•••••••• L••left Nov 16, 2020, registered Oct 24, 2020 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
- A••••• W••••• M••••••••• I••• to A••••• W••••• M••••••••• L••left Feb 27, 2014, registered Feb 10, 2014 (-17 days) · channel change inside one enterprise, 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