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•••• H•••• L••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 18, 2019 · Lexington, Ma
- L•••••••• W••••• M••••••••• I••• formerMay 31, 2018 to Dec 31, 2019 · Lexington, Ma
- P••• F•••••••• M••••••••• I•• independent RIAApr 17, 2012 to Oct 1, 2014 · Wellesley, Ma
- L•••••••• W••••• M••••••••• I••• to H•••••••• A•••••••• L••left Dec 31, 2019, registered Oct 18, 2019 (-74 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P••• F•••••••• M••••••••• I•• to L•••••••• W••••• M••••••••• I•••left Oct 1, 2014, registered May 31, 2018 (1338 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address