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.
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- P•••••• C•••••• A•••••••• L•• independent RIA currentsince Jan 22, 2021 · Braintree, Ma
- D••••• W•••••• L•• independent RIAOct 10, 2018 to Jan 18, 2021 · Peabody, Ma
- D••••• W•••••• L•• formerJan 31, 2007 to Mar 25, 2019 · Palm Beach Gardens, Fl
- C••••••••• W••••• M••••••••• L•• unclassifiedApr 2, 2004 to Dec 31, 2006 · Beverly, Ma
- A•••••• A••••••• S••••••• formerApr 24, 2003 to Apr 26, 2004 · Beverly, Ma
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMApr 26, 2002 to Apr 4, 2003 · Boston, Ma
- D••••• W•••••• L•• to P•••••• C•••••• A•••••••• L••left Jan 18, 2021, registered Jan 22, 2021 (4 days) · RIA to RIA
- D••••• W•••••• L•• to D••••• W•••••• L••left Mar 25, 2019, registered Oct 10, 2018 (-166 days) · channel change inside one enterprise, not a move · moved with a team
- C••••••••• W••••• M••••••••• L•• to D••••• W•••••• L••left Dec 31, 2006, registered Jan 31, 2007 (31 days) · Other
- A•••••• A••••••• S••••••• to C••••••••• W••••• M••••••••• L••left Apr 26, 2004, registered Apr 2, 2004 (-24 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to A•••••• A••••••• S•••••••left Apr 4, 2003, registered Apr 24, 2003 (20 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address