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.
D••••• F•••••• C•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 17, 2023 · Plymouth, Ma
- M•••• • C••••• I•• BD affiliatedAug 2, 2007 to Apr 18, 2023 · Brockton, Ma
- P••• A••••• S••••••••• L•• BD affiliatedJun 16, 2001 to Mar 7, 2007 · Brockton, Ma
- M•••• • C••••• I•• to C•••••• S••••• • C••• I•••left Apr 18, 2023, registered Apr 17, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to M•••• • C••••• I••left Mar 7, 2007, registered Aug 2, 2007 (148 days) · Other
- D••••• F•••••• C••••••• left M•••• • C••••• I•• for C•••••• S••••• • C••• I••• (registered 2023-04-17)Apr 18, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address