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••• M•••••• M•••••••
- F•••• independent RIA currentsince May 17, 2023 · West Palm Beach, Fl
- F•••• independent RIAOct 6, 2020 to Jun 13, 2022 · West Palm Beach, Fl
- C••••••••• F•••••••• N•••••• national BDApr 1, 2013 to May 22, 2015 · Lynn, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerFeb 27, 2008 to Dec 31, 2010 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerFeb 27, 2008 to Apr 11, 2011 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 13, 2003 to Nov 10, 2005 · Framingham, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedMar 18, 2002 to Nov 10, 2005 · Cincinnati, Oh
- C••••••••• F•••••••• N•••••• to F••••left May 22, 2015, registered Oct 6, 2020 (1964 days) · Affiliated broker-dealer or bank to independent RIA
- M••••••• I••••••••• M••••••••• ••• L•• to C••••••••• F•••••••• N••••••left Apr 11, 2011, registered Apr 1, 2013 (721 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2010, registered Feb 27, 2008 (-1038 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Nov 10, 2005, registered Feb 27, 2008 (839 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to S•••••••• A••••••• L••left Nov 10, 2005, registered Jun 13, 2003 (-881 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address