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.
C•••••• M••••••• M•••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 23, 2024 · Worcester, Ma
- M••••• S•••••• wirehouseSep 16, 2011 to Feb 27, 2024 · Boston, Ma
- D••••••• F••••• I••••••••• M••••••••• L•• formerAug 25, 2010 to Aug 25, 2011 · Boston, Ma
- D••••••• F••••• • C•• unclassifiedNov 30, 2009 to Dec 1, 2010 · Topsfield, Ma
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 27, 2024, registered Feb 23, 2024 (-4 days) · Wirehouse to wirehouse · moved with a team
- D••••••• F••••• I••••••••• M••••••••• L•• to M••••• S••••••left Aug 25, 2011, registered Sep 16, 2011 (22 days) · Other
- D••••••• F••••• • C•• to D••••••• F••••• I••••••••• M••••••••• L••left Dec 1, 2010, registered Aug 25, 2010 (-98 days) · Other
- C•••••• M••••••• M••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2024-02-23)Feb 27, 2024 · 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address