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•••••• M••••• B••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 23, 2015 · Austin, Tx
- C••••••••• F•••••••• N•••••• national BDDec 22, 2009 to Aug 12, 2015 · Waltham, Ma
- B••• A•••••••• L•• formerAug 14, 2007 to Jan 6, 2009 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerMay 8, 2007 to Oct 11, 2007 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerApr 30, 2007 to Oct 11, 2007 · Boston, Ma
- B••• A•••••••• L•• to C••••••••• F•••••••• N••••••left Jan 6, 2009, registered Dec 22, 2009 (350 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Oct 11, 2007, registered May 8, 2007 (-156 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to B••• A•••••••• L••left Oct 11, 2007, registered Aug 14, 2007 (-58 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