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•••• M•••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 16, 2017 · Plano, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 21, 2017 · Boston, Ma
- M•••••• independent RIAJul 6, 2015 to Jul 18, 2017 · Overland Park,, Ks
- M•• F•••••••• S•••••••• I••• formerDec 12, 2014 to Mar 25, 2017 · Boston, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDNov 7, 2001 to Dec 12, 2014 · Middleton, Ma
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 21, 2017, registered Aug 16, 2017 (26 days) · Other
- M•••••• to M•• I•••••••• S•••••••• L••left Jul 18, 2017, registered Mar 25, 2017 (-115 days) · Other
- M•• F•••••••• S•••••••• I••• to M••••••left Mar 25, 2017, registered Jul 6, 2015 (-628 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 12, 2014, registered Dec 12, 2014 (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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address