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.
I•• B• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 12, 2024 · Concord, Ca
- P•••••••• A•••• M••••••••• otherDec 20, 2021 to Mar 1, 2024 · Concord, Ca
- M••••••• I••••••••• M••••••••• ••• L•• asset managerJan 18, 2007 to Jan 9, 2009 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerJan 17, 2007 to Jan 9, 2009 · Boston, Ma
- J••• H•••••• D••••••••• L•• unclassifiedAug 21, 2002 to Dec 31, 2006 · Stamford, Ct
- P•••••••• A•••• M••••••••• to L•• F•••••••• L••left Mar 1, 2024, registered Mar 12, 2024 (11 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Jan 9, 2009, registered Jan 18, 2007 (-722 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to P•••••••• A•••• M•••••••••left Jan 9, 2009, registered Dec 20, 2021 (4728 days) · Other
- J••• H•••••• D••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Jan 17, 2007 (17 days) · Other
- I•• B• W•••••••• left P•••••••• A•••• M••••••••• for L•• F•••••••• L•• (registered 2024-03-12)Mar 1, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address