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••••• V•••••• D•••••
- L••••••••• F••••••••• L•• state registered currentsince Sep 29, 2021 · Marblehead, Ma
- T•• W••••• P••••••• independent RIAAug 7, 2017 to Sep 14, 2021 · Marblehead, Ma
- E••••• J•••• national BDOct 7, 2013 to Jul 17, 2017 · Marblehead, Ma
- T•• W••••• P••••••• to L••••••••• F••••••••• L••left Sep 14, 2021, registered Sep 29, 2021 (15 days) · RIA to a state-registered adviser
- E••••• J•••• to T•• W••••• P•••••••left Jul 17, 2017, registered Aug 7, 2017 (21 days) · Affiliated broker-dealer or bank to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address