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••••• R• D••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince May 16, 2022 · Wakefield, Ma
- M•••••• independent RIAMar 15, 2016 to Jul 28, 2016 · Danvers, Ma
- N•• E•••••• S••••••••• C••••••••• formerMar 13, 2002 to Dec 21, 2009 · Wakefield, Ma
- M•••••• to M•• I•••••••• S•••••••• L••left Jul 28, 2016, registered May 16, 2022 (2118 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M••••••left Dec 21, 2009, registered Mar 15, 2016 (2276 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