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.
A••••• M•••••• A••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Wakefield, Ma
- P•••• S••••••••• L•• no RAUMJan 11, 2022 to Nov 14, 2024 · Wakefield, Ma
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAMar 31, 2014 to Dec 31, 2016 · Pompton Plains, Nj
- B•• S••••••••• I••• independent RIAMar 9, 2012 to Mar 7, 2014 · Pompton Plains, Nj
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to P•••• S••••••••• L••left Dec 31, 2016, registered Jan 11, 2022 (1837 days) · Other
- B•• S••••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Mar 7, 2014, registered Mar 31, 2014 (24 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address