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.
D•••• R••••
- A••••••• W••••• A•••••• S•••••••• asset manager currentsince Apr 22, 2024 · Charlotte, Nc
- O•••• W•••••• I••• BD affiliatedJun 4, 2019 to Dec 17, 2019 · Merrimac, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 12, 2016 to Feb 4, 2019 · Merrimac, Ma
- I•••••••• C•••••• A••••••• formerSep 24, 2004 to Feb 16, 2016 · Lynnfield, Ma
- O•••• W•••••• I••• to A••••••• W••••• A•••••• S••••••••left Dec 17, 2019, registered Apr 22, 2024 (1588 days) · Other
- V••• F•••••••• A•••••••• I••• to O•••• W•••••• I•••left Feb 4, 2019, registered Jun 4, 2019 (120 days) · Affiliated broker-dealer or bank to another
- I•••••••• C•••••• A••••••• to V••• F•••••••• A•••••••• I•••left Feb 16, 2016, registered Apr 12, 2016 (56 days) · Other · moved with a team
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address