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.
S•••• R• F••••••
- L••••••• C•••••• P••••••• L•• independent RIA currentsince Oct 6, 2017 · Southborough, Ma
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 10, 2017 · Boston, Ma
- M••••• S•••••• • C•• L•• unclassifiedAug 8, 2008 to Jun 1, 2009 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 14, 2005 to Aug 12, 2008 · Wellesley Hills, Ma
- M••••• S•••••• to L••••••• C•••••• P••••••• L••left Oct 10, 2017, registered Oct 6, 2017 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Aug 12, 2008, registered Aug 8, 2008 (-4 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address