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.
J•••••• S•••••• M•••••
- W••••• E•••••• independent RIA currentsince Jun 11, 2024 · Pembroke, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 27, 2015 to Oct 20, 2021 · Boston, Ma
- C••••• • M•••••••• I••• formerFeb 7, 2008 to Mar 6, 2015 · Simsbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 20, 2001 to Nov 22, 2004 · Rockland , Ma
- A••••••••• F•••••••• S•••••••• L•• to W••••• E••••••left Oct 20, 2021, registered Jun 11, 2024 (965 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• • M•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 6, 2015, registered Feb 27, 2015 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• • M•••••••• I•••left Nov 22, 2004, registered Feb 7, 2008 (1172 days) · Other
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address