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••• L••••• P•••••
- O•••• I••••••••• I••• BD affiliated currentsince Dec 3, 2007 · Fall River, Ma
- L•• F•••••••• L•• BD affiliatedSep 5, 2006 to Dec 3, 2007 · Randolph, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jul 28, 2006 · East Freetown, Ma
- Q•••• • R•••••• I••• unclassifiedJun 9, 2004 to Oct 20, 2004 · Bedford, Ma
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Dec 3, 2007, registered Dec 3, 2007 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 28, 2006, registered Sep 5, 2006 (39 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address