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.
T•• C•••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jan 3, 2020 · Vero Beach, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 6, 2012 to Jul 15, 2019 · Braintree, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 22, 2010 to Dec 19, 2011 · Cohasset, Ma
- S•••••••• A••••••• L•• national BDNov 21, 2006 to Feb 13, 2009 · San Diego, Ca
- V••• F•••••••• A•••••••• I••• to E•••••• A••••••• G••••• L••left Jul 15, 2019, registered Jan 3, 2020 (172 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left Dec 19, 2011, registered Feb 6, 2012 (49 days) · Other
- S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 13, 2009, registered Feb 22, 2010 (374 days) · Affiliated broker-dealer or bank to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address