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•••••• M•••••• S•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Sep 11, 2019 · Springfield, Ma
- V••• F•••••••• P•••••••• L•• formerNov 18, 2016 to Apr 2, 2018 · Windsor, Ct
- M••••• F•••••••• A••••••••• L•• formerDec 12, 2007 to May 26, 2016 · Springfield, Ma
- V••• F•••••••• P•••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 2, 2018, registered Sep 11, 2019 (527 days) · RIA to affiliated broker-dealer or bank
- M••••• F•••••••• A••••••••• L•• to V••• F•••••••• P•••••••• L••left May 26, 2016, registered Nov 18, 2016 (176 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address