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.
M••• F•••••• V•• V•••••••••
- T•• A•••••••• I••• BD affiliated currentsince Feb 21, 2023 · Summit, Nj
- M••••• C•••••• A•••••••• L•• independent RIANov 1, 2018 to Dec 31, 2021 · East Longmeadow, Ma
- O•••• F•• I••• formerMar 5, 2008 to Nov 5, 2018 · Springfield, Ma
- M••••• C•••••• A•••••••• L•• to T•• A•••••••• I•••left Dec 31, 2021, registered Feb 21, 2023 (417 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to M••••• C•••••• A•••••••• L••left Nov 5, 2018, registered Nov 1, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address