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.
B•••• M•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 27, 2016 · Plymouth, Ma
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerMay 1, 2010 to Apr 14, 2016 · Minneapolis, Mn
- B••• A•••••••• L•• formerSep 13, 2006 to May 1, 2010 · Boston, Ma
- M••••• S•••••• D• I••• unclassifiedJan 20, 2006 to Sep 14, 2006 · Boston, Ma
- C••••••• M••••••••• I••••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 14, 2016, registered Jul 27, 2016 (104 days) · Other
- B••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left May 1, 2010, registered May 1, 2010 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to B••• A•••••••• L••left Sep 14, 2006, registered Sep 13, 2006 (-1 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address