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.
R•••••• E••••• L••••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Oct 10, 2017 · Acton, Ma
- L•• F•••••••• L•• BD affiliatedMar 7, 2016 to May 8, 2017 · Acton, Ma
- K•• I••••••••• A•••••••• L•• formerFeb 23, 2011 to Jan 4, 2016 · Waltham, Ma
- C•••••• L•• independent RIAOct 13, 2010 to Jan 31, 2011 · Boston, Ma
- C••••••• W••••• M••••••••• L•• unclassifiedDec 14, 2005 to Sep 14, 2010 · Boston, Ma
- L•• F•••••••• L•• to I••••••••• W••••• C••••••• L••left May 8, 2017, registered Oct 10, 2017 (155 days) · Other
- K•• I••••••••• A•••••••• L•• to L•• F•••••••• L••left Jan 4, 2016, registered Mar 7, 2016 (63 days) · Other
- C•••••• L•• to K•• I••••••••• A•••••••• L••left Jan 31, 2011, registered Feb 23, 2011 (23 days) · Other
- C••••••• W••••• M••••••••• L•• to C•••••• L••left Sep 14, 2010, registered Oct 13, 2010 (29 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address