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.
M•••••• N••• C•••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Oct 19, 2022 · Columbus, Oh
- K••••• A••••••• S•••••••• L•• BD affiliatedJul 14, 2022 to Aug 18, 2022 · Austin, Tx
- P•••• S••••••••• L•• no RAUMApr 28, 2020 to May 25, 2022 · Columbus, Oh
- S•••••••• S••••••••• BD affiliatedMar 19, 2018 to Mar 30, 2020 · Beverly, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2015 to Mar 12, 2018 · Boston, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 15, 2013 to Jun 30, 2014 · Burlington, Ma
- T• A••••••••• I••• formerJul 15, 2013 to Jun 30, 2014 · Burlington, Ma
- K••••• A••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Aug 18, 2022, registered Oct 19, 2022 (62 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to K••••• A••••••• S•••••••• L••left May 25, 2022, registered Jul 14, 2022 (50 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to P•••• S••••••••• L••left Mar 30, 2020, registered Apr 28, 2020 (29 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••left Mar 12, 2018, registered Mar 19, 2018 (7 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 30, 2014, registered Jul 15, 2013 (-350 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 30, 2014, registered Jan 13, 2015 (197 days) · Other
- M•••••• N••• C••••••••• left K••••• A••••••• S•••••••• L•• for P••• A••••• S••••••••• L•• (registered 2022-10-19)Aug 18, 2022 · Advisor changed firm · fact
- M•••••• N••• C••••••••• left P•••• S••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2022-07-14)May 25, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address