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.
B•••••• M••• J•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 10, 2019 · Hingham, Ma
- E•••••••• A•••••••• L•• national BDSep 13, 2013 to Sep 28, 2018 · Wellesley, Ma
- I•••••••• C•••••• A••••••• formerJan 8, 2010 to Aug 7, 2013 · Lynnfield, Ma
- S•• I••••••••• I••• formerDec 16, 2009 to Jan 8, 2010 · Newburyport, Ma
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 28, 2018, registered Sep 10, 2019 (347 days) · Affiliated broker-dealer or bank to another
- I•••••••• C•••••• A••••••• to E•••••••• A•••••••• L••left Aug 7, 2013, registered Sep 13, 2013 (37 days) · Other
- S•• I••••••••• I••• to I•••••••• C•••••• A•••••••left Jan 8, 2010, registered Jan 8, 2010 (0 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address