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.
K•••• E•••••••• V•• V••••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Natick, Ma
- A••••••• A••••••• S••••••• formerMar 5, 2019 to Nov 1, 2021 · Norwell, Ma
- L••• S••••• A•••••••• L•• formerFeb 6, 2017 to Dec 27, 2018 · Newton, Ma
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 16, 2016 to Feb 2, 2017 · Newton, Ma
- N•• A•••••• S•••••••• L•• formerJun 24, 2015 to May 11, 2016 · Newton, Ma
- L•••••••• W••••• M••••••••• I••• formerSep 26, 2011 to May 18, 2015 · L••••••••, Ma
- C•••••• A••••••• S••••••• I••• unclassifiedJan 3, 2005 to May 3, 2010 · Waltham, Ma
- T•••••• F•••••••• S••••••• I•• unclassifiedMar 7, 2002 to Dec 16, 2004 · Waltham, Ma
- A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- L••• S••••• A•••••••• L•• to A••••••• A••••••• S•••••••left Dec 27, 2018, registered Mar 5, 2019 (68 days) · Affiliated broker-dealer or bank to another
- K••••• A••••••• S•••••••• L•• to L••• S••••• A•••••••• L••left Feb 2, 2017, registered Feb 6, 2017 (4 days) · Other · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left May 11, 2016, registered May 16, 2016 (5 days) · Other
- L•••••••• W••••• M••••••••• I••• to N•• A•••••• S•••••••• L••left May 18, 2015, registered Jun 24, 2015 (37 days) · Other
- C•••••• A••••••• S••••••• I••• to L•••••••• W••••• M••••••••• I•••left May 3, 2010, registered Sep 26, 2011 (511 days) · Other
- T•••••• F•••••••• S••••••• I•• to C•••••• A••••••• S••••••• I•••left Dec 16, 2004, registered Jan 3, 2005 (18 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