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•••• R••••• F•••••
- C••••••• S••••••••• I••• BD affiliated currentsince Nov 21, 2017 · Westwood, Ma
- S••••••• I••••••••• I••• formerFeb 10, 2017 to Nov 6, 2017 · South Boston, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliatedJul 18, 2016 to Feb 10, 2017 · Boston, Ma
- S••••••• I••••••••• I••• formerApr 29, 2015 to Jun 30, 2016 · Westwood, Ma
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerNov 4, 2013 to Apr 15, 2015 · New Y•••, Ny
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerApr 3, 2013 to Nov 4, 2013 · Parsippany, Nj
- S••••••••• I••••••••• A••••••• L•• independent RIAAug 31, 2004 to Jan 20, 2005 · Providence, Ri
- S••••••• I••••••••• I••• to C••••••• S••••••••• I•••left Nov 6, 2017, registered Nov 21, 2017 (15 days) · Other
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• I•••left Feb 10, 2017, registered Feb 10, 2017 (0 days) · Other
- S••••••• I••••••••• I••• to J••• H•••••• P••••••• F•••••••• S•••••••• L••left Jun 30, 2016, registered Jul 18, 2016 (18 days) · Other · moved with a team
- N•• Y••• L••• I••••••••• M••••••••• L•• to S••••••• I••••••••• I•••left Apr 15, 2015, registered Apr 29, 2015 (14 days) · Other · moved with a team
- S••••••••• I••••••••• A••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••left Jan 20, 2005, registered Apr 3, 2013 (2995 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address