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•••• M•••• B•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 16, 2015 · Boston, Ma
- C••••• S••••• S••••••••• •••• L•• formerJul 8, 2014 to Dec 16, 2015 · Boston, Ma
- M••••• S•••••• wirehouseMar 2, 2012 to Jun 24, 2014 · Wellesley, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 5, 2007 to Mar 6, 2012 · Wellesley Hills, Ma
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Dec 16, 2015, registered Nov 16, 2015 (-30 days) · corporate re-registration, not a move
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left Jun 24, 2014, registered Jul 8, 2014 (14 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 6, 2012, registered Mar 2, 2012 (-4 days) · Wirehouse to wirehouse
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