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.
P••••••• R••• G•••••
- C••• L•• BD affiliated currentsince Mar 2, 2021 · Westborough, Ma
- D••••• W•••••• L•• independent RIAOct 2, 2020 to Jan 4, 2021 · Palm Beach Gardens, Fl
- C••••••••• F•••••••• N•••••• national BDNov 13, 2014 to Oct 2, 2020 · Lowell, Ma
- D••••• W•••••• L•• to C••• L••left Jan 4, 2021, registered Mar 2, 2021 (57 days) · RIA to affiliated broker-dealer or bank
- C••••••••• F•••••••• N•••••• to D••••• W•••••• L••left Oct 2, 2020, registered Oct 2, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
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