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.
H•••• L•••• H•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 29, 2022 · Manchester, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 9, 2017 to Aug 25, 2022 · Manchester-By-The-Sea, Ma
- M•••••• independent RIAFeb 23, 2010 to Apr 5, 2018 · Overland Park,, Ks
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 8, 2003 · Boston, Ma
- P••••••••• E••••• G••••• L•• unclassifiedMar 18, 1998 to Jul 1, 2003 · Boston, Ma
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 25, 2022, registered Jul 29, 2022 (-27 days) · Affiliated broker-dealer or bank to another
- M•••••• to M•• I•••••••• S•••••••• L••left Apr 5, 2018, registered Nov 9, 2017 (-147 days) · Other · moved with a team
- W•••• F•••• A••••••• to M••••••left Aug 8, 2003, registered Feb 23, 2010 (2391 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- H•••• L•••• H••••• left M•• I•••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-07-29)Aug 25, 2022 · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address