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.
N•••••• C• M••••••
- S•• W••••• M••••••••• L•• independent RIA currentsince Mar 10, 2022 · Plymouth, Ma
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 24, 2022 · Wellesley, Ma
- M••••• S•••••• • C•• L•• unclassifiedMar 11, 2008 to Jun 1, 2009 · Wellesley, Ma
- C••••• S••••• S••••••••• •••• L•• formerJan 10, 2008 to Mar 20, 2008 · Boston, Ma
- M••••• S•••••• • C•• L•• unclassifiedNov 12, 2007 to Jan 4, 2008 · Boston, Ma
- M••••• S•••••• to S•• W••••• M••••••••• L••left Feb 24, 2022, registered Mar 10, 2022 (14 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••• S••••• S••••••••• •••• L•• to M••••• S•••••• • C•• L••left Mar 20, 2008, registered Mar 11, 2008 (-9 days) · Other
- M••••• S•••••• • C•• L•• to C••••• S••••• S••••••••• •••• L••left Jan 4, 2008, registered Jan 10, 2008 (6 days) · Other
- N•••••• C• M•••••• left M••••• S•••••• for S•• W••••• M••••••••• L•• (registered 2022-03-10)Feb 24, 2022 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address