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••• D•••• B••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 30, 2024 · Middleton, Ma
- S•••••••• S••••••••• BD affiliatedSep 26, 2012 to Dec 17, 2012 · Methuen, Ma
- L•• F•••••••• L•• BD affiliatedJun 5, 2012 to Sep 19, 2012 · Methuen, Ma
- E•••••••• P•••••••• S••••••••• I••• independent RIAAug 18, 2011 to Dec 20, 2011 · Berwyn, Pa
- P••••• I••••••••• M••••••••• L•• asset managerAug 7, 2008 to Feb 18, 2009 · Boston, Ma
- S•••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 17, 2012, registered Jul 30, 2024 (4243 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 26, 2012 (7 days) · corporate re-registration, not a move
- E•••••••• P•••••••• S••••••••• I••• to L•• F•••••••• L••left Dec 20, 2011, registered Jun 5, 2012 (168 days) · Other
- P••••• I••••••••• M••••••••• L•• to E•••••••• P•••••••• S••••••••• I•••left Feb 18, 2009, registered Aug 18, 2011 (911 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address