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••••• S•••••• wirehouse currentsince Aug 1, 2019 · Boston, Ma
- S•• W••••• independent RIANov 14, 2014 to Mar 7, 2018 · Boston, Ma
- B••••• P•••••••• L•• formerFeb 18, 2011 to Nov 26, 2014 · Boston, Ma
- L•• F•••••••• L•• BD affiliatedApr 4, 2006 to Feb 10, 2011 · Boston, Ma
- S•• W••••• to M••••• S••••••left Mar 7, 2018, registered Aug 1, 2019 (512 days) · Other
- B••••• P•••••••• L•• to S•• W•••••left Nov 26, 2014, registered Nov 14, 2014 (-12 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to B••••• P•••••••• L••left Feb 10, 2011, registered Feb 18, 2011 (8 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address