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.
K•••• H••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Dec 1, 2021 · Springfield, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 11, 2013 to Nov 8, 2021 · Hyannis, Ma
- M•• S••••••••• L•• formerJul 14, 2009 to Apr 2, 2012 · Andover, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••left Nov 8, 2021, registered Dec 1, 2021 (23 days) · Wirehouse to affiliated broker-dealer or bank
- M•• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 2, 2012, registered Sep 11, 2013 (527 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address