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.
L•••••• M•••••• L•••••••
- C••••••• S••••••••• I••• BD affiliated currentsince May 2, 2022 · Woburn, Ma
- C••••••• S••••••••• I••• BD affiliatedMay 8, 2017 to Sep 8, 2021 · Braintree, Ma
- S•••••••• S••••••••• BD affiliatedMar 18, 2014 to Jan 27, 2017 · Worcester, Ma
- C••••••• S••••••••• I••• BD affiliatedMar 16, 2009 to Mar 14, 2014 · Springfield, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 23, 2009 · Milford, Ma
- Q•••• • R•••••• I••• unclassifiedJul 25, 2003 to Oct 20, 2004 · Milford, Ma
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Jan 27, 2017, registered May 8, 2017 (101 days) · Other
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Mar 14, 2014, registered Mar 18, 2014 (4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Feb 23, 2009, registered Mar 16, 2009 (21 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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