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.
J•••••• D• C•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Shirley, Ma
- W••••••• F•••••••• S•••••••• I••• formerMar 29, 2017 to Jan 19, 2024 · Shirley, Ma
- P••••• I••••••••• M••••••••• L•• asset managerFeb 1, 2008 to Feb 18, 2009 · Andover, Ma
- P••••• I••••••••• M••••••••• L•• asset managerMar 5, 2007 to Jan 28, 2008 · Boston, Ma
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- P••••• I••••••••• M••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Feb 18, 2009, registered Mar 29, 2017 (2961 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address