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.
S•••••• N••••• B••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Apr 5, 2023 · Chicago, Il
- D•••• • L•••• C•••••• unclassifiedOct 7, 2013 to Dec 31, 2014 · Lexington, Ma
- L•• F•••••••• L•• BD affiliatedJan 6, 2006 to Oct 21, 2020 · Lexington, Ma
- B••••••• F•••••••• S•••••••• I••• formerJun 24, 2005 to Apr 21, 2023 · Lexington, Ma
- B••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 21, 2023, registered Jan 6, 2006 (-6314 days) · Other
- L•• F•••••••• L•• to D•••• • L•••• C••••••left Oct 21, 2020, registered Oct 7, 2013 (-2571 days) · Other
- D•••• • L•••• C•••••• to H•••••••• A•••••••• L••left Dec 31, 2014, registered Apr 5, 2023 (3017 days) · Other
- S•••••• N••••• B•••• left B••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2006-01-06)Apr 21, 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