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•••••• G• D•••••
- S•••••••• S••••••••• BD affiliated currentsince Jul 15, 2013 · Swampscott, Ma
- I•••••••• C•••••• A••••••• formerJun 1, 2012 to Mar 13, 2013 · Lynnfield, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 16, 2011 to Jun 29, 2012 · Burlington, Ma
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to May 18, 2010 · Beverly, Ma
- I•••••••• C•••••• A••••••• to S•••••••• S•••••••••left Mar 13, 2013, registered Jul 15, 2013 (124 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to I•••••••• C•••••• A•••••••left Jun 29, 2012, registered Jun 1, 2012 (-28 days) · Other
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 18, 2010, registered Mar 16, 2011 (302 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address