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.
W•••••• J•••• O•••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Nov 10, 2022 · Boston, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 10, 2018 to Jun 16, 2022 · Braintree, Ma
- S•••••••• S••••••••• BD affiliatedJan 11, 2017 to Apr 30, 2018 · Framingham, Ma
- U••• F•••••••• P••••••• S••••••• formerMar 25, 2011 to Jul 29, 2016 · Stoughton, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Mar 3, 2011 · Boston, Ma
- T• A••••••••• I••• formerSep 10, 2003 to Mar 3, 2011 · Boston, Ma
- V••• F•••••••• A•••••••• I••• to S••••• W••••• A•••••••• I•••left Jun 16, 2022, registered Nov 10, 2022 (147 days) · Other
- S•••••••• S••••••••• to V••• F•••••••• A•••••••• I•••left Apr 30, 2018, registered Oct 10, 2018 (163 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to S•••••••• S•••••••••left Jul 29, 2016, registered Jan 11, 2017 (166 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••left Mar 3, 2011, registered Mar 25, 2011 (22 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 3, 2011, registered Apr 25, 2006 (-1773 days) · channel change inside one enterprise, not a move
- W•••••• J•••• O••••• left V••• F•••••••• A•••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2022-11-10)Jun 16, 2022 · 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
- No RAUM reportedderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address