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.
L•••• J••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 21, 2023 · Somerset, Ma
- E•••••• F•••••••• E•••••• independent RIAMay 19, 2022 to Feb 23, 2023 · Milton, Ma
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerAug 13, 2009 to Dec 17, 2010 · New Y•••, Ny
- E•••••• F•••••••• E•••••• to L•• F•••••••• L••left Feb 23, 2023, registered Dec 21, 2023 (301 days) · RIA to affiliated broker-dealer or bank
- N•• Y••• L••• I••••••••• M••••••••• L•• to E•••••• F•••••••• E••••••left Dec 17, 2010, registered May 19, 2022 (4171 days) · Other
- L•••• J••• C••••• left E•••••• F•••••••• E•••••• for L•• F•••••••• L•• (registered 2023-12-21)Feb 23, 2023 · Advisor changed firm · 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
- 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