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•••• C••••••••• C•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince May 17, 2021 · Waltham, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 3, 2014 to May 18, 2021 · Windsor, Ct
- A••••••• P••••••••• A•••••••• I•• formerFeb 13, 2008 to Jun 3, 2014 · Holbrook, Ny
- V••• F•••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left May 18, 2021, registered May 17, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••• P••••••••• A•••••••• I•• to V••• F•••••••• A•••••••• I•••left Jun 3, 2014, registered Jun 3, 2014 (0 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address