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.
J•••••• S••••• K•••
- T••••• P••••• W••••• M••••••••• mixed wealth currentsince Dec 7, 2021 · Concord, Ma
- C••••••• S••••••••• I••• BD affiliatedOct 8, 2019 to Oct 18, 2021 · Gloucester, Ma
- U•• F•••••••• S••••••• I••• wirehouseJun 13, 2006 to Sep 19, 2008 · Worcester, Ma
- C••••••• S••••••••• I••• to T••••• P••••• W••••• M•••••••••left Oct 18, 2021, registered Dec 7, 2021 (50 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to C••••••• S••••••••• I•••left Sep 19, 2008, registered Oct 8, 2019 (4036 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address