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.
- M••••• S•••••• wirehouse currentsince Sep 6, 2022 · Naples, Fl
- J••• M••••• S••••••••• L•• wirehouseMar 25, 2015 to Sep 3, 2022 · Marco Island, Fl
- S•••••••• S••••••••• BD affiliatedFeb 21, 2013 to Mar 12, 2015 · Framingham, Ma
- C••••••• S••••••••• I••• BD affiliatedMar 21, 2011 to Jan 28, 2013 · Medford, Ma
- J••• M••••• S••••••••• L•• to M••••• S••••••left Sep 3, 2022, registered Sep 6, 2022 (3 days) · Wirehouse to wirehouse · moved with a team
- S•••••••• S••••••••• to J••• M••••• S••••••••• L••left Mar 12, 2015, registered Mar 25, 2015 (13 days) · Other
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Jan 28, 2013, registered Feb 21, 2013 (24 days) · Other
- P••••• S•••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-09-06)Sep 3, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address