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•••• D••• W•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · North Easton, Ma
- I•••••••• C•••••• A••••••• formerJan 13, 2014 to Oct 3, 2016 · Lynnfield, Ma
- B••••• G••••• A•••• M••••••••• BD affiliatedJan 10, 2011 to Jan 27, 2014 · North Easton, Ma
- B••••• G••••• A•••• M••••••••• BD affiliatedMay 22, 2009 to Dec 31, 2010 · N. Easton, Ma
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2003 to Jun 2, 2009 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 1999 to Sep 24, 2003 · New York, Ny
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
- B••••• G••••• A•••• M••••••••• to I•••••••• C•••••• A•••••••left Jan 27, 2014, registered Jan 13, 2014 (-14 days) · Other
- U•• F•••••••• S••••••• I••• to B••••• G••••• A•••• M•••••••••left Jun 2, 2009, registered May 22, 2009 (-11 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 24, 2003, registered Sep 19, 2003 (-5 days) · Wirehouse to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address