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.
S•••• A• N•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 7, 2009 · Jacksonville, Fl
- I•••••••• C•••••• A••••••• formerAug 7, 2007 to Dec 3, 2008 · Lynnfield, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 29, 2006 to May 24, 2007 · Waltham, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2003 to Jun 16, 2006 · Jacksonville, Fl
- I•••••••• C•••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 3, 2008, registered Apr 7, 2009 (125 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to I•••••••• C•••••• A•••••••left May 24, 2007, registered Aug 7, 2007 (75 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 16, 2006, registered Sep 29, 2006 (105 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address