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•••• W••••• B•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 20, 2023 · Ponte Vedra Beach, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 7, 2011 to Feb 27, 2023 · Wellesley Hills, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 12, 2011 · Wellesley Hills, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 26, 2006 to Oct 23, 2009 · Newton, Ma
- A• G• E•••••• • S•••• I••• unclassifiedMay 24, 2004 to Mar 13, 2006 · Portsmouth, Nh
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 27, 2023, registered Feb 20, 2023 (-7 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 12, 2011, registered Oct 7, 2011 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 13, 2006, registered May 26, 2006 (74 days) · Other
- K•••• W••••• B••••• left S•••••• N••••••• • C••••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-02-20)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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address