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.
K•••• J•••• L••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 20, 2018 · Stow, Ma
- O•••••••• • L••••••• I••• formerJun 23, 2015 to Dec 14, 2018 · Hudson, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2013 to Jun 24, 2015 · Holyoke, Ma
- C••••••••• F•••••••• N•••••• national BDApr 4, 2003 to Apr 16, 2009 · Dedham, Ma
- M••• S••••••••• C••••••••• unclassifiedJun 28, 2002 to Apr 22, 2003 · New York, Ny
- O•••••••• • L••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 14, 2018, registered Nov 20, 2018 (-24 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•• I•••••••• S•••••••• L•• to O•••••••• • L••••••• I•••left Jun 24, 2015, registered Jun 23, 2015 (-1 days) · Other
- C••••••••• F•••••••• N•••••• to M•• I•••••••• S•••••••• L••left Apr 16, 2009, registered Mar 25, 2013 (1439 days) · Other
- M••• S••••••••• C••••••••• to C••••••••• F•••••••• N••••••left Apr 22, 2003, registered Apr 4, 2003 (-18 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address