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.
R•••••• W•••••• T•••••
- E••••• J•••• national BD currentsince May 20, 2023 · Boston, Ma
- C•••••• C••••• G••••• I••• no RAUMFeb 9, 2016 to Dec 16, 2022 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 18, 2009 to Jan 7, 2016 · Boston, Ma
- P••••• I••••••••• M••••••••• L•• asset managerOct 25, 2001 to Mar 1, 2004 · Boston, Ma
- C•••••• C••••• G••••• I••• to E••••• J••••left Dec 16, 2022, registered May 20, 2023 (155 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• C••••• G••••• I•••left Jan 7, 2016, registered Feb 9, 2016 (33 days) · Other
- P••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 1, 2004, registered Nov 18, 2009 (2088 days) · Other
- R•••••• W•••••• T••••• left C•••••• C••••• G••••• I••• for E••••• J•••• (registered 2023-05-20)Dec 16, 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