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••••• S•••••• wirehouse currentsince Feb 4, 2022 · Boston, Ma
- S•••••••• S••••••••• BD affiliatedMar 24, 2021 to Jan 20, 2022 · Boston, Ma
- T• A••••••••• I••• formerMar 7, 2018 to Jan 11, 2021 · Framingham, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 21, 2016 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••• formerJun 3, 2013 to Sep 5, 2014 · Boston, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 3, 2013 to Sep 5, 2014 · Boston, Ma
- S•••••••• S••••••••• to M••••• S••••••left Jan 20, 2022, registered Feb 4, 2022 (15 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to S•••••••• S•••••••••left Jan 11, 2021, registered Mar 24, 2021 (72 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Mar 7, 2018 (-1030 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 5, 2014, registered Jun 3, 2013 (-459 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 5, 2014, registered Jun 3, 2013 (-459 days) · Other
- J••••• F• V•••• left S•••••••• S••••••••• for M••••• S•••••• (registered 2022-02-04)Jan 20, 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address