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.
M•••••• G•••••• O•••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Nov 25, 2020 · Orlando, Fl
- P•••••• W••••• S••••••••• L•• formerOct 1, 2019 to Nov 6, 2020 · Shrewsbury, Ma
- T•• P•••••• F•••••••• G••••• L•• independent RIANov 30, 2018 to Mar 27, 2019 · Hingham, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 12, 2013 to Nov 28, 2018 · Hanover, Ma
- U•• F•••••••• S••••••• I••• wirehouseJan 4, 2001 to Jan 14, 2008 · Boston, Ma
- P•••••• W••••• S••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Nov 6, 2020, registered Nov 25, 2020 (19 days) · Other
- T•• P•••••• F•••••••• G••••• L•• to P•••••• W••••• S••••••••• L••left Mar 27, 2019, registered Oct 1, 2019 (188 days) · RIA to a newly registered adviser
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•• P•••••• F•••••••• G••••• L••left Nov 28, 2018, registered Nov 30, 2018 (2 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 14, 2008, registered Apr 12, 2013 (1915 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address