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.
G••• M•••• P••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 3, 2022 · Wellesley, Ma
- M••••• S•••••• wirehouseMar 26, 2018 to Jun 28, 2021 · Boston, Ma
- C••••••• S••••••••• I••• BD affiliatedMay 22, 2017 to Mar 12, 2018 · Woburn, Ma
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jun 28, 2021, registered Feb 3, 2022 (220 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to M••••• S••••••left Mar 12, 2018, registered Mar 26, 2018 (14 days) · Affiliated broker-dealer or bank to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address