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.
A•••••••• G••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 20, 2016 · Chestnut Hill, Ma
- C••••••• S••••••••• I••• BD affiliatedNov 17, 2014 to Apr 5, 2016 · Braintree, Ma
- E•••••• C•••••• M••••••••• L•• formerJul 11, 2011 to Nov 5, 2014 · Arlington, Va
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJul 21, 2008 to Jul 5, 2011 · Wellesley, Ma
- C••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 5, 2016, registered Apr 20, 2016 (15 days) · Other
- E•••••• C•••••• M••••••••• L•• to C••••••• S••••••••• I•••left Nov 5, 2014, registered Nov 17, 2014 (12 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to E•••••• C•••••• M••••••••• L••left Jul 5, 2011, registered Jul 11, 2011 (6 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address