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.
J••••••• C•••••• P••••
- E•••••••• A•••• M••••••••• L•• independent RIA currentsince Jan 19, 2022 · Wellesley, Ma
- S••••• W••••• mixed wealthApr 24, 2019 to Sep 9, 2021 · Wellesley, Ma
- U•• F•••••••• S••••••• I••• wirehouseMar 2, 2007 to May 3, 2019 · Wellesley, Ma
- M••••• S•••••• D• I••• unclassifiedSep 8, 2006 to Mar 5, 2007 · Wellesley, Ma
- S••••• W••••• to E•••••••• A•••• M••••••••• L••left Sep 9, 2021, registered Jan 19, 2022 (132 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to S••••• W•••••left May 3, 2019, registered Apr 24, 2019 (-9 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Mar 5, 2007, registered Mar 2, 2007 (-3 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address