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.
M•••• H•••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 3, 2021 · Chelmsford, Ma
- C••••••• S••••••••• I••• BD affiliatedJan 23, 2015 to Jun 25, 2021 · J•••Ston, Ri
- L•• F•••••••• L•• BD affiliatedMar 22, 2010 to Jan 2, 2015 · Westborough, Ma
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Mar 16, 2010 · Mansfield, Ma
- C••••• I••••••••• S••••••• L•• formerMay 5, 2008 to Nov 17, 2009 · Mansfield, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2007 to Apr 15, 2008 · Wellesley Hills, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerSep 17, 2004 to Dec 5, 2006 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerSep 17, 2004 to Dec 31, 2006 · Boston, Ma
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Jun 25, 2021, registered Aug 3, 2021 (39 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Jan 2, 2015, registered Jan 23, 2015 (21 days) · Other
- T• W••••• M••••••••• S••••••• I••• to L•• F•••••••• L••left Mar 16, 2010, registered Mar 22, 2010 (6 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Apr 15, 2008, registered May 5, 2008 (20 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2006, registered Feb 14, 2007 (45 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 5, 2006, registered Sep 17, 2004 (-809 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