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.
J•••••• N•••••• H•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 13, 2019 · N••••••, Ma
- W•••••• W••••• M••••••••• L•• formerNov 13, 2019 to Nov 27, 2019 · Boston, Ma
- W••••••• E•••• • C••••••• I••• formerJan 21, 2005 to Nov 27, 2019 · Boston, Ma
- W•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Nov 27, 2019, registered Nov 13, 2019 (-14 days) · RIA to affiliated broker-dealer or bank
- W••••••• E•••• • C••••••• I••• to W•••••• W••••• M••••••••• L••left Nov 27, 2019, registered Nov 13, 2019 (-14 days) · channel change inside one enterprise, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address