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••••• R•••••• B••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 8, 2016 · Centerville, Ma
- C••••••• S••••••••• I••• BD affiliatedJan 4, 2010 to Mar 24, 2014 · Orleans, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 12, 2006 to Jan 29, 2009 · Yarmouth Port, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerJun 13, 2003 to Sep 9, 2005 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerJun 13, 2003 to Sep 9, 2005 · Boston, Ma
- C••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 24, 2014, registered Jan 8, 2016 (655 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Jan 29, 2009, registered Jan 4, 2010 (340 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Sep 9, 2005, registered Jun 13, 2003 (-819 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 9, 2005, registered Jun 12, 2006 (276 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address