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.
F•••••••• C• B••••
- O•••• I••••••••• I••• BD affiliated currentsince Nov 15, 2012 · Meriden, Ct
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Sep 18, 2012 · Westboro, Ma
- I••• S••••••••• I••• unclassifiedJan 12, 2004 to May 27, 2008 · Leominster, Ma
- Q•••• • R•••••• I••• unclassifiedJul 23, 2003 to Jan 29, 2004 · Worcester, Ma
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Sep 18, 2012, registered Nov 15, 2012 (58 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to I••• S••••••••• I•••left Jan 29, 2004, registered Jan 12, 2004 (-17 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