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••• W• L•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 23, 2020 · Boston, Ma
- A••••••• F•••••••• state registeredMar 7, 2018 to Feb 11, 2020 · Durham, Nh
- S•••••••• S••••••••• BD affiliatedMar 22, 2016 to Jun 27, 2017 · Lexington, Ma
- M••••• S•••••• wirehouseJul 26, 2011 to Mar 28, 2016 · Boston, Ma
- A••••••• F•••••••• to U•• F•••••••• S••••••• I•••left Feb 11, 2020, registered Dec 23, 2020 (316 days) · Other
- S•••••••• S••••••••• to A••••••• F••••••••left Jun 27, 2017, registered Mar 7, 2018 (253 days) · Other
- M••••• S•••••• to S•••••••• S•••••••••left Mar 28, 2016, registered Mar 22, 2016 (-6 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address