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.
A••• P••• R•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 14, 2016 · Wellesley, Ma
- C••••• S••••• S••••••••• •••• L•• formerSep 12, 2011 to Feb 10, 2016 · Boston, Ma
- A••••••••• L••• otherMay 6, 2005 to Sep 16, 2011 · Boston, Ma
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Feb 10, 2016, registered Jan 14, 2016 (-27 days) · Other · moved with a team
- A••••••••• L••• to C••••• S••••• S••••••••• •••• L••left Sep 16, 2011, registered Sep 12, 2011 (-4 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