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.
A•••••• T••••• N•••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Marshfield, Ma
- M•••••• independent RIAJun 26, 2015 to Apr 5, 2018 · Marshfield, Ma
- M•• F•••••••• S•••••••• I••• formerJun 17, 2015 to Mar 25, 2017 · Marshfield, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jun 16, 2015 · Portsmouth, Nh
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 8, 2007 to Oct 5, 2009 · Andover, Ma
- M•••••• to M•• I•••••••• S•••••••• L••left Apr 5, 2018, registered Mar 25, 2017 (-376 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M••••••left Mar 25, 2017, registered Jun 26, 2015 (-638 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 16, 2015, registered Jun 17, 2015 (1 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address