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••• E• Y••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 13, 2022 · Malden, Ma
- C••••••• • C••• I••• formerNov 5, 2019 to Jun 1, 2023 · Malden, Ma
- S•••••••• I••••••••• A•••••••• L•• independent RIAJun 7, 2019 to Jul 17, 2019 · Winthrop, Ma
- O•••• W•••••• I••• BD affiliatedMay 30, 2019 to Jul 17, 2019 · Los Angeles, Ca
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to May 9, 2019 · Scottsdale, Az
- S••••••• I••••••••• I••• formerJan 12, 2010 to Nov 2, 2018 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 5, 2007 to Mar 12, 2009 · Waltham, Ma
- G•••••••• F••••••••• I•• unclassifiedDec 7, 2005 to Jan 27, 2006 · Lincoln, Ma
- C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 1, 2023, registered Dec 13, 2022 (-170 days) · corporate re-registration, not a move
- S•••••••• I••••••••• A•••••••• L•• to C••••••• • C••• I•••left Jul 17, 2019, registered Nov 5, 2019 (111 days) · RIA to affiliated broker-dealer or bank
- O•••• W•••••• I••• to S•••••••• I••••••••• A•••••••• L••left Jul 17, 2019, registered Jun 7, 2019 (-40 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Mar 12, 2009, registered Jan 12, 2010 (306 days) · Other
- G•••••••• F••••••••• I•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 27, 2006, registered Mar 5, 2007 (402 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address