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.
M•••• A•• K•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 11, 2019 · Hadley, Ma
- B••••• G••••• A•••• M••••••••• BD affiliatedNov 19, 2014 to Oct 14, 2019 · Northampton, Ma
- L•• F•••••••• L•• BD affiliatedAug 21, 2013 to Nov 18, 2014 · Northampton, Ma
- E•••• S••••••••• L•• BD affiliatedDec 23, 2008 to Jun 2, 2009 · Northampton, Ma
- B••••• G••••• A•••• M••••••••• to C••••••••• F•••••••• N••••••left Oct 14, 2019, registered Oct 11, 2019 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to B••••• G••••• A•••• M•••••••••left Nov 18, 2014, registered Nov 19, 2014 (1 days) · Other
- E•••• S••••••••• L•• to L•• F•••••••• L••left Jun 2, 2009, registered Aug 21, 2013 (1541 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