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.
C••••••••• J•••• C•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 21, 2022 · West Newbury, Ma
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Jul 25, 2022 · Braintree, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 30, 2019 to Jun 9, 2021 · Braintree, Ma
- P•••••••• S••••••••• I••• BD affiliatedNov 6, 2006 to Jan 25, 2017 · Waltham, Ma
- C••••• A•••••• N••••••• L•• to C••••••••• F•••••••• N••••••left Jul 25, 2022, registered Jul 21, 2022 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 25, 2017, registered Apr 30, 2019 (825 days) · Other
- C••••••••• J•••• C••••••• left C••••• A•••••• N••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-07-21)Jul 25, 2022 · a•••••• firm change · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address