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.
D•••• R••••• B••••
- 9• F•••••••• G••••• L•• independent RIA currentsince Apr 13, 2018 · Woburn, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 29, 2016 to Mar 12, 2018 · Chelmsford, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 2014 to Aug 11, 2016 · Riverside, Ri
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 3, 2013 to Oct 10, 2014 · Braintree, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 17, 2011 to Aug 20, 2012 · Waltham, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to 9• F•••••••• G••••• L••left Mar 12, 2018, registered Apr 13, 2018 (32 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 11, 2016, registered Aug 29, 2016 (18 days) · Other
- V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 10, 2014, registered Dec 3, 2014 (54 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left Aug 20, 2012, registered Jun 3, 2013 (287 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address