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.
N•••• M•••• W•••••
- M••••• S•••••• wirehouse currentsince Oct 2, 2023 · Portsmouth, Nh
- A••••• F•••••••• P•••••••• I••• independent RIAOct 18, 2010 to Oct 2, 2023 · Downers Grove, Il
- W••••••••• F•••••••• G••••• I••• unclassifiedNov 12, 2003 to Dec 31, 2008 · Metheun, Ma
- F•• S••••••••• C••••••••• formerDec 14, 2001 to Oct 17, 2003 · Metheun, Ma
- A••••• F•••••••• P•••••••• I••• to M••••• S••••••left Oct 2, 2023, registered Oct 2, 2023 (0 days) · RIA to wirehouse
- W••••••••• F•••••••• G••••• I••• to A••••• F•••••••• P•••••••• I•••left Dec 31, 2008, registered Oct 18, 2010 (656 days) · Other
- F•• S••••••••• C••••••••• to W••••••••• F•••••••• G••••• I•••left Oct 17, 2003, registered Nov 12, 2003 (26 days) · Other
- N•••• M•••• W••••• left A••••• F•••••••• P•••••••• I••• for M••••• S•••••• (registered 2023-10-02)Oct 2, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address