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.
R••••• H••••••••
- M•••• • C••••• I•• BD affiliated currentsince Aug 15, 2019 · Boston, Ma
- W•••• F•••• A••••••• wirehouseMay 21, 2019 to Aug 9, 2019 · Boston, Ma
- A•••••••• F•••• M••••••••• L•• asset managerDec 27, 2016 to Feb 28, 2019 · Charlotte, Nc
- A•••••••• F•••• M••••••••• L•• asset managerJan 4, 2010 to Dec 31, 2014 · San Francisco, Ca
- E•••••••• I••••••••• M••••••••• C• unclassifiedOct 13, 2009 to Jan 4, 2010 · Boston, Ma
- W•••• F•••• A••••••• to M•••• • C••••• I••left Aug 9, 2019, registered Aug 15, 2019 (6 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••••• F•••• M••••••••• L•• to W•••• F•••• A•••••••left Feb 28, 2019, registered May 21, 2019 (82 days) · Other
- E•••••••• I••••••••• M••••••••• C• to A•••••••• F•••• M••••••••• L••left Jan 4, 2010, registered Jan 4, 2010 (0 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address