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.
C••••••••• S•••••• D•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 25, 2022 · Chicago, Il
- R•• W••••• P••••••• independent RIAJul 30, 2021 to Dec 23, 2021 · Boston, Ma
- P••••••• C•••••• A••••••• C••••••••• formerJul 7, 2021 to Jul 26, 2021 · Arlington, Ma
- C•••••• S••••• • C••• I••• national BDApr 8, 2016 to Oct 10, 2019 · Chestnut Hill, Ma
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 2, 2008 to Mar 31, 2016 · Burlington, Ma
- T• A••••••••• I••• formerApr 2, 2008 to Mar 31, 2016 · Burlington, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2006 to Nov 19, 2007 · Wellesley Hills, Ma
- R•• W••••• P••••••• to H•••••••• A•••••••• L••left Dec 23, 2021, registered Oct 25, 2022 (306 days) · RIA to affiliated broker-dealer or bank
- P••••••• C•••••• A••••••• C••••••••• to R•• W••••• P•••••••left Jul 26, 2021, registered Jul 30, 2021 (4 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to P••••••• C•••••• A••••••• C•••••••••left Oct 10, 2019, registered Jul 7, 2021 (636 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 31, 2016, registered Apr 2, 2008 (-2920 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 31, 2016, registered Apr 2, 2008 (-2920 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Nov 19, 2007, registered Apr 2, 2008 (135 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address