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.
S•••• E• H••••••
- E•••••••• A•••••••• L•• national BD currentsince May 18, 2021 · New York, Ny
- I•••••••• C•••••• A••••••• formerJul 13, 2009 to Feb 25, 2014 · Lynnfield, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDMar 21, 2006 to May 15, 2006 · East Hartford, Ct
- I•••••••• C•••••• A••••••• to E•••••••• A•••••••• L••left Feb 25, 2014, registered May 18, 2021 (2639 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I•••••••• C•••••• A•••••••left May 15, 2006, registered Jul 13, 2009 (1155 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