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.
V•••••• D•••••• B•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 12, 2021 · Westwood, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jan 6, 2021 · Needham, Ma
- M•••••• independent RIAJan 26, 2015 to Feb 1, 2018 · Wellesley, Ma
- M•• F•••••••• S•••••••• I••• formerDec 11, 2012 to Mar 25, 2017 · Norwood, Ma
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 19, 2012 · Wellesley, Ma
- M••••• S•••••• • C•• L•• unclassifiedSep 12, 2007 to Jun 1, 2009 · Wellesley, Ma
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 6, 2021, registered Jan 12, 2021 (6 days) · Affiliated broker-dealer or bank to another
- M•••••• to M•• I•••••••• S•••••••• L••left Feb 1, 2018, registered Mar 25, 2017 (-313 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to M••••••left Mar 25, 2017, registered Jan 26, 2015 (-789 days) · Other · moved with a team
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Dec 19, 2012, registered Dec 11, 2012 (-8 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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