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 Apr 19, 2018 · Middleton, Ma
- T• P•••••• C••••• W••••• L•• BD affiliatedSep 16, 2015 to Apr 13, 2018 · Boston, Ma
- M••••• S•••••• wirehouseSep 7, 2010 to Apr 21, 2011 · Waltham, Ma
- W•••• F•••• A••••••• wirehouseNov 26, 2008 to Sep 3, 2010 · Beverly, Ma
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 23, 2008 to Jun 13, 2008 · Providence, Ri
- T• P•••••• C••••• W••••• L•• to M••••• S••••••left Apr 13, 2018, registered Apr 19, 2018 (6 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to T• P•••••• C••••• W••••• L••left Apr 21, 2011, registered Sep 16, 2015 (1609 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Sep 3, 2010, registered Sep 7, 2010 (4 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jun 13, 2008, registered Nov 26, 2008 (166 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address