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•••• R••••• H••••••••
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset manager currentsince May 1, 2010 · Boston, Ma
- B••• A•••••••• L•• formerApr 25, 2005 to May 7, 2010 · Boston, Ma
- C••••••• M••••••••• A•••••••• I••• unclassifiedOct 21, 2004 to Apr 22, 2005 · Boston, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 23, 2004 to Aug 9, 2004 · Walnut Creek, Ca
- B••• O•• S••••••••• C••••••••• unclassifiedApr 15, 2003 to May 3, 2004 · Metairie, La
- B••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left May 7, 2010, registered May 1, 2010 (-6 days) · corporate re-registration, not a move
- C••••••• M••••••••• A•••••••• I••• to B••• A•••••••• L••left Apr 22, 2005, registered Apr 25, 2005 (3 days) · Other
- M•• I•••••••• S•••••••• L•• to C••••••• M••••••••• A•••••••• I•••left Aug 9, 2004, registered Oct 21, 2004 (73 days) · Other
- B••• O•• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left May 3, 2004, registered Jun 23, 2004 (51 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address