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•••••• L••• C•••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Mendon, Ma
- S•••••••• F••••••••• I••• formerNov 28, 2017 to Sep 1, 2023 · Westborough, Ma
- S•• I••••••••• I••• formerAug 29, 2012 to Nov 29, 2017 · Waltham, Ma
- O••••••••• S••••••••• I••• BD affiliatedJan 13, 2010 to Sep 11, 2012 · Framingham, Ma
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- S•• I••••••••• I••• to S•••••••• F••••••••• I•••left Nov 29, 2017, registered Nov 28, 2017 (-1 days) · Other · moved with a team
- O••••••••• S••••••••• I••• to S•• I••••••••• I•••left Sep 11, 2012, registered Aug 29, 2012 (-13 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
- 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