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.
B•••• H••••••• W••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 20, 2023 · Portland, Me
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2014 to Oct 2, 2023 · Boston, Ma
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 23, 2014 · Boston, Ma
- M••••• S•••••• • C•• L•• unclassifiedAug 5, 2008 to Jun 1, 2009 · Boston, Ma
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Oct 2, 2023, registered Sep 20, 2023 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 23, 2014, registered Jan 17, 2014 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B•••• H••••••• W•••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2023-09-20)Oct 2, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address