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.
D•••• W•••• C••••••
- P•• A••••••• S•••••••• L•• independent RIA currentsince Apr 8, 2021 · Albany, Ny
- R•• C•••••• M••••••• L•• national BDApr 11, 2012 to Jun 12, 2018 · Albany, Ny
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• formerApr 20, 2006 to Mar 22, 2007 · Boston, Ma
- A••••• A•••• M••••••••• U•• I••• formerMay 25, 2004 to Apr 20, 2006 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerJun 13, 2003 to May 12, 2004 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerApr 22, 2003 to May 14, 2004 · Boston, Ma
- R•• C•••••• M••••••• L•• to P•• A••••••• S•••••••• L••left Jun 12, 2018, registered Apr 8, 2021 (1031 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• P•••••• I••••••••• A•••• M••••••••• I••• to R•• C•••••• M••••••• L••left Mar 22, 2007, registered Apr 11, 2012 (1847 days) · Other
- A••••• A•••• M••••••••• U•• I••• to A••••• P•••••• I••••••••• A•••• M••••••••• I•••left Apr 20, 2006, registered Apr 20, 2006 (0 days) · corporate re-registration, not a move
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left May 14, 2004, registered Jun 13, 2003 (-336 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to A••••• A•••• M••••••••• U•• I•••left May 12, 2004, registered May 25, 2004 (13 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address