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•••• J• Q••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 13, 2014 · Plymouth, Ma
- L•• F•••••••• L•• BD affiliatedFeb 23, 2010 to Dec 19, 2013 · Hanover, Ma
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Feb 8, 2010 · Plymouth, Ma
- C••••• I••••••••• S••••••• L•• formerSep 14, 2007 to Nov 19, 2009 · Plymouth, Ma
- C••••• A•••••• N••••••• L•• formerJun 21, 2006 to Sep 19, 2007 · Crystal Lake, Il
- J••• H•••••• I••••••••• M••••••••• L•• asset managerJun 13, 2003 to Apr 28, 2006 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerJun 13, 2003 to Apr 28, 2006 · Boston, Ma
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 19, 2013, registered Jan 13, 2014 (25 days) · Other
- T• W••••• M••••••••• S••••••• I••• to L•• F•••••••• L••left Feb 8, 2010, registered Feb 23, 2010 (15 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 19, 2009, registered Nov 17, 2009 (-2 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• S••••••• L••left Sep 19, 2007, registered Sep 14, 2007 (-5 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to C••••• A•••••• N••••••• L••left Apr 28, 2006, registered Jun 21, 2006 (54 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Apr 28, 2006, registered Jun 13, 2003 (-1050 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address