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•••••••• S•••• J••••
- F••••••• H••••• A•••••••• L•• independent RIA currentsince Dec 8, 2014 · Yamouthport, Ma
- M••••• S•••••• wirehouseNov 30, 2009 to Dec 3, 2014 · Hyannis, Ma
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 17, 2009 to Nov 18, 2009 · Falmouth, Ma
- C••••• I••••••••• S••••••• L•• formerMay 25, 2005 to Nov 19, 2009 · Falmouth, Ma
- M••••• S•••••• to F••••••• H••••• A•••••••• L••left Dec 3, 2014, registered Dec 8, 2014 (5 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 19, 2009, registered Nov 17, 2009 (-2 days) · corporate re-registration, not a move
- T• W••••• M••••••••• S••••••• I••• to M••••• S••••••left Nov 18, 2009, registered Nov 30, 2009 (12 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address