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•••• A•••• W••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 10, 2017 · Norwell, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 15, 2017 · Marshfield, Ma
- M•••••• independent RIAApr 29, 2015 to Nov 16, 2017 · Marshfield, Ma
- M•• F•••••••• S•••••••• I••• formerMar 9, 2010 to Mar 25, 2017 · Southborough, Ma
- C••••• I••••••••• S••••••• L•• formerMay 13, 2008 to Jul 2, 2009 · Foxborough, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 2, 2007 to Apr 26, 2008 · Wellesley Hills, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 24, 2006 to Aug 10, 2006 · Deer Park, Wa
- M•••••• to M•• I•••••••• S•••••••• L••left Nov 16, 2017, registered Mar 25, 2017 (-236 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 15, 2017, registered Nov 10, 2017 (-5 days) · Other
- M•• F•••••••• S•••••••• I••• to M••••••left Mar 25, 2017, registered Apr 29, 2015 (-696 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 2, 2009, registered Mar 9, 2010 (250 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Apr 26, 2008, registered May 13, 2008 (17 days) · Other
- V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 10, 2006, registered Aug 2, 2007 (357 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address