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•••• G••••• H••••••
- O•••• I••••••••• I••• BD affiliated currentsince Jun 24, 2013 · Burlington, Ma
- S••••••• P•••••• A•••••••• L••• institutionalAug 22, 2011 to Jun 24, 2013 · Wakefield, Ma
- L•• F•••••••• L•• BD affiliatedMar 8, 2006 to Jun 7, 2010 · Fort Mill, Sc
- S••••••• P•••••• A•••••••• L••• to O•••• I••••••••• I•••left Jun 24, 2013, registered Jun 24, 2013 (0 days) · Other
- L•• F•••••••• L•• to S••••••• P•••••• A•••••••• L•••left Jun 7, 2010, registered Aug 22, 2011 (441 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address