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.
P•••••• M••••••
- I•••••• M•••••• A•••••••• L•• other currentsince Sep 6, 2022 · Johns Island, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2009 to Jan 15, 2015 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 10, 2008 to Oct 23, 2009 · Boston, Ma
- C••••••• S••••••••• I••• BD affiliatedNov 24, 2003 to Dec 5, 2006 · Johnston, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I•••••• M•••••• A•••••••• L••left Jan 15, 2015, registered Sep 6, 2022 (2791 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Nov 4, 2009 (12 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 5, 2006, registered Dec 10, 2008 (736 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
- Other adviserderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address