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.
D•••• L•••• L• T••••
- A• W••••• M••••••••• L•• BD affiliated currentsince Feb 23, 2022 · Hingham, Ma
- S•••• S•••• I••••••••• S••••••• L•• independent RIAMar 24, 2021 to Feb 22, 2022 · Norwell, Ma
- C•••••••• F•••••••• G•••• A••••••• formerAug 23, 2005 to Oct 7, 2011 · Sugar Land, Tx
- S•••• S•••• I••••••••• S••••••• L•• to A• W••••• M••••••••• L••left Feb 22, 2022, registered Feb 23, 2022 (1 days) · RIA to affiliated broker-dealer or bank
- C•••••••• F•••••••• G•••• A••••••• to S•••• S•••• I••••••••• S••••••• L••left Oct 7, 2011, registered Mar 24, 2021 (3456 days) · Other
- D•••• L•••• L• T•••• left S•••• S•••• I••••••••• S••••••• L•• for A• W••••• M••••••••• L•• (registered 2022-02-23)Feb 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address