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.
J••• A•••••••• C••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Jan 18, 2024 · Duxbury, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedMar 15, 2018 to Aug 2, 2023 · Providence, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 19, 2016 to Mar 5, 2018 · Marshfield, Ma
- I•••••••• L•• otherJul 28, 2015 to Feb 29, 2016 · Boston, Ma
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerMay 1, 2010 to Jul 13, 2012 · Minneapolis, Mn
- B••• A•••••••• L•• formerFeb 1, 2008 to May 7, 2010 · Boston, Ma
- A••••• A•• P••••••• S••••••• to P•••••••• S••••••••• I•••left Aug 2, 2023, registered Jan 18, 2024 (169 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Mar 5, 2018, registered Mar 15, 2018 (10 days) · Other
- I•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 29, 2016, registered May 19, 2016 (80 days) · Other
- C••••••• M••••••••• I••••••••• A•••••••• L•• to I•••••••• L••left Jul 13, 2012, registered Jul 28, 2015 (1110 days) · Other
- B••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left May 7, 2010, registered May 1, 2010 (-6 days) · corporate re-registration, not a move
- J••• A•••••••• C•••• left A••••• A•• P••••••• S••••••• for P•••••••• S••••••••• I••• (registered 2024-01-18)Aug 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address