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.
- C••• L•• BD affiliated currentsince Oct 22, 2020 · Westborough, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 26, 2020 · Needham, Ma
- M•••••• independent RIAAug 22, 2016 to Feb 1, 2018 · Wellesley, Ma
- M•• F•••••••• S•••••••• I••• formerAug 9, 2016 to Mar 25, 2017 · Wellesley, Ma
- A•••• P•••••• G••••• I••• formerFeb 17, 2015 to Jul 11, 2016 · Boston, Ma
- E•••• S••••••••• L•• BD affiliatedOct 9, 2006 to Aug 15, 2016 · Providence, Ri
- M•• I•••••••• S•••••••• L•• to C••• L••left Oct 26, 2020, registered Oct 22, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• to M•• I•••••••• S•••••••• L••left Feb 1, 2018, registered Mar 25, 2017 (-313 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to M••••••left Mar 25, 2017, registered Aug 22, 2016 (-215 days) · Other · moved with a team
- E•••• S••••••••• L•• to A•••• P•••••• G••••• I•••left Aug 15, 2016, registered Feb 17, 2015 (-545 days) · Other · moved with a team
- A•••• P•••••• G••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 11, 2016, registered Aug 9, 2016 (29 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