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.
D••• J•••••• D•••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 21, 2022 · West Newbury, Ma
- C••••• A•••••• N••••••• L•• formerJun 9, 2021 to Jul 26, 2022 · West Newbury, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 22, 2017 to Jun 9, 2021 · West Newbury, Ma
- P•••••••• S••••••••• I••• BD affiliatedJun 25, 2008 to Aug 1, 2017 · Waltham, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedJul 19, 2005 to Apr 25, 2008 · Foxborough, Ma
- C••••• A•••••• N••••••• L•• to C••••••••• F•••••••• N••••••left Jul 26, 2022, registered Jul 21, 2022 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Aug 1, 2017, registered Aug 22, 2017 (21 days) · Other
- V••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••left Apr 25, 2008, registered Jun 25, 2008 (61 days) · Other
- D••• J•••••• D••••••••• left C••••• A•••••• N••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-07-21)Jul 26, 2022 · a•••••• firm change · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address