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.
P•••• F•••••••• A••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 4, 2019 · Beverly, Ma
- U•• F•••••••• S••••••• I••• wirehouseApr 2, 2015 to Jul 21, 2016 · Andover, Ma
- S•••••••• A••••••• L•• national BDFeb 27, 2008 to Sep 7, 2011 · Burlington, Ma
- M••••• S•••••• D• I••• unclassifiedDec 17, 2004 to May 2, 2005 · N. Palm Bch., Fl
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jul 21, 2016, registered Mar 4, 2019 (956 days) · Wirehouse to wirehouse
- S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 7, 2011, registered Apr 2, 2015 (1303 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• D• I••• to S•••••••• A••••••• L••left May 2, 2005, registered Feb 27, 2008 (1031 days) · Other
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address