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•••• J••••• M••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 29, 2016 · Northampton, Ma
- A•••••• A••••••• S••••••• formerSep 16, 2010 to Sep 19, 2014 · Nort Hampton, Ma
- L•• F•••••••• L•• BD affiliatedJan 13, 2010 to Sep 27, 2010 · West Hartford, Ct
- B•••••• F••••••••• L•• formerNov 20, 2009 to Dec 22, 2009 · Longmeadow, Ma
- A•••••• A••••••• S••••••• to K••••• A••••••• S•••••••• L••left Sep 19, 2014, registered Apr 29, 2016 (588 days) · Other
- L•• F•••••••• L•• to A•••••• A••••••• S•••••••left Sep 27, 2010, registered Sep 16, 2010 (-11 days) · Other
- B•••••• F••••••••• L•• to L•• F•••••••• L••left Dec 22, 2009, registered Jan 13, 2010 (22 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