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••• F•••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 17, 2010 · Norwell, Ma
- A•••••• F••••••••• L•• state registeredMar 26, 2019 to Mar 11, 2021 · Watertown, Ma
- S••••••• I••••••••• I••• formerApr 2, 2009 to Dec 8, 2010 · Needham Heights, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Mar 12, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 29, 2007 to Jan 2, 2009 · Wellesley, Ma
- E•••••••• A•••••••• L•• national BDJan 6, 2005 to Jan 30, 2007 · Wellesley, Ma
- A•••••• F••••••••• L•• to no registered destinationleft Mar 11, 2021 · Departure, no registered destination
- S••••••• I••••••••• I••• to L•• F•••••••• L••left Dec 8, 2010, registered Nov 17, 2010 (-21 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••• I••••••••• I•••left Mar 12, 2009, registered Apr 2, 2009 (21 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 30, 2007, registered Jan 29, 2007 (-1 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address