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.
K••••••• A•• C••••••
- E••••• J•••• national BD currentsince Mar 15, 2016 · Attleboro, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDSep 9, 2013 to Feb 24, 2016 · Plainville, Ma
- N•• E•••••• S••••••••• C••••••••• formerDec 16, 2011 to Aug 21, 2013 · North Attleboro, Ma
- B••• A•••••••• L•• formerMay 1, 2006 to Jun 15, 2006 · Boston, Ma
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Feb 24, 2016, registered Mar 15, 2016 (20 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 21, 2013, registered Sep 9, 2013 (19 days) · Other
- B••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jun 15, 2006, registered Dec 16, 2011 (2010 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address