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.
- M••••• S•••••• wirehouse currentsince Jun 18, 2015 · Dover, Ma
- S•• W••••• independent RIANov 14, 2014 to Jun 4, 2015 · Boston, Ma
- B••••• P•••••••• L•• formerAug 13, 2013 to Nov 26, 2014 · Boston, Ma
- S••••• B••••• formerJan 29, 2009 to Aug 7, 2013 · Boston, Ma
- L••••• B••••••• I••• unclassifiedSep 8, 2006 to Oct 15, 2008 · Boston, Ma
- S•• W••••• to M••••• S••••••left Jun 4, 2015, registered Jun 18, 2015 (14 days) · Other · moved with a team
- B••••• P•••••••• L•• to S•• W•••••left Nov 26, 2014, registered Nov 14, 2014 (-12 days) · corporate re-registration, not a move
- S••••• B••••• to B••••• P•••••••• L••left Aug 7, 2013, registered Aug 13, 2013 (6 days) · Other
- L••••• B••••••• I••• to S••••• B•••••left Oct 15, 2008, registered Jan 29, 2009 (106 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