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.
- S•• W••••• independent RIA currentsince Apr 29, 2021 · Boston, Ma
- B•• M••••• S••••••••• C••••••••• otherApr 15, 2009 to Aug 30, 2019 · Boston, Ma
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jan 24, 2008 · Boston, Ma
- C••••••• I••••••••• S••••••• unclassifiedSep 18, 2006 to May 29, 2007 · Boston, Ma
- B•• M••••• S••••••••• C••••••••• to S•• W•••••left Aug 30, 2019, registered Apr 29, 2021 (608 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• G••••• M•••••• I••• to B•• M••••• S••••••••• C•••••••••left Jan 24, 2008, registered Apr 15, 2009 (447 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address