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.
R•••••• E••••• B•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 18, 2023 · Woonsocket, Ri
- O•••• I••••••••• I••• BD affiliatedJan 12, 2021 to May 3, 2021 · Raynham, Ma
- C••••••••• F•••••••• N•••••• national BDOct 16, 2006 to Dec 31, 2020 · Waltham, Ma
- O•••• I••••••••• I••• BD affiliatedNov 2, 2004 to Oct 16, 2006 · Norton, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 14, 2004 to Sep 25, 2004 · E Providence , Ri
- P•••• S••••••••• L•• no RAUMMar 16, 2001 to Dec 8, 2003 · Needham, Ma
- O•••• I••••••••• I••• to C••••••••• F•••••••• N••••••left May 3, 2021, registered Apr 18, 2023 (715 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to O•••• I••••••••• I•••left Dec 31, 2020, registered Jan 12, 2021 (12 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Oct 16, 2006, registered Oct 16, 2006 (0 days) · Other
- M•• I•••••••• S•••••••• L•• to O•••• I••••••••• I•••left Sep 25, 2004, registered Nov 2, 2004 (38 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 8, 2003, registered Jan 14, 2004 (37 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address