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.
C••••••••• M•••••• H••••
- R•• W••••• P••••••• independent RIA currentsince Feb 17, 2012 · Boston, Ma
- A•••••• I••••••••• unclassifiedJan 13, 2012 to Feb 28, 2012 · Newton, Ma
- A•••••• I••••••••• A••••••••• C• L•• former sec a••••••Mar 25, 2011 to Dec 7, 2016 · Newton, Ma
- K••••• I•••••• M••••••••• I•• unclassifiedNov 10, 2009 to Mar 29, 2011 · Arlington, Va
- S•••••••• A••••••• L•• national BDFeb 4, 2004 to Jul 10, 2006 · San Francisco, Ca
- A•••••• I••••••••• A••••••••• C• L•• to A•••••• I•••••••••left Dec 7, 2016, registered Jan 13, 2012 (-1790 days) · Other · moved with a team
- A•••••• I••••••••• to R•• W••••• P•••••••left Feb 28, 2012, registered Feb 17, 2012 (-11 days) · Other
- K••••• I•••••• M••••••••• I•• to A•••••• I••••••••• A••••••••• C• L••left Mar 29, 2011, registered Mar 25, 2011 (-4 days) · Other
- S•••••••• A••••••• L•• to K••••• I•••••• M••••••••• I••left Jul 10, 2006, registered Nov 10, 2009 (1219 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address