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••• P• C•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 2, 2024 · Westborough, Ma
- M••••••• G•••• W••••• A•••••••• L•• independent RIAApr 14, 2023 to Oct 1, 2024 · Concord, Ma
- C••• L•• BD affiliatedNov 13, 2019 to Feb 27, 2023 · Omaha, Ne
- M••••••• G•••• W••••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 1, 2024, registered Oct 2, 2024 (1 days) · RIA to affiliated broker-dealer or bank
- C••• L•• to M••••••• G•••• W••••• A•••••••• L••left Feb 27, 2023, registered Apr 14, 2023 (46 days) · Affiliated broker-dealer or bank to independent RIA
- J••• P• C••••• left M••••••• G•••• W••••• A•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-10-02)Oct 1, 2024 · Advisor changed firm · fact
- J••• P• C••••• left C••• L•• for M••••••• G•••• W••••• A•••••••• L•• (registered 2023-04-14)Feb 27, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address