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.
D••••• N••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Malden, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 15, 2014 to Jun 9, 2021 · Malden, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 4, 2011 to May 2, 2014 · Boston, Ma
- C••••••• S••••••••• I••• BD affiliatedDec 9, 2009 to May 12, 2011 · Medford, Ma
- P••••• I••••••••• M••••••••• L•• asset managerFeb 13, 2008 to Feb 19, 2009 · Boston, Ma
- P••••• I••••••••• M••••••••• L•• asset managerJun 9, 2006 to Feb 8, 2008 · Boston, Ma
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• A•••••••• I•••left May 2, 2014, registered Dec 15, 2014 (227 days) · Other
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 12, 2011, registered Aug 4, 2011 (84 days) · Other
- P••••• I••••••••• M••••••••• L•• to C••••••• S••••••••• I•••left Feb 19, 2009, registered Dec 9, 2009 (293 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address