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.
B••• L•••••• C•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 11, 2022 · Quincy, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliatedFeb 11, 2020 to Jan 5, 2021 · Westwood, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerMay 20, 2013 to Apr 13, 2020 · Boston, Ma
- L•• F•••••••• L•• BD affiliatedMar 4, 2011 to Jul 21, 2011 · Fort Mill, Sc
- M••••• S•••••• wirehouseFeb 2, 2010 to Feb 28, 2011 · Boston, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 5, 2021, registered Jan 11, 2022 (371 days) · Affiliated broker-dealer or bank to another
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• P••••••• F•••••••• S•••••••• L••left Apr 13, 2020, registered Feb 11, 2020 (-62 days) · Other · moved with a team
- L•• F•••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Jul 21, 2011, registered May 20, 2013 (669 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Feb 28, 2011, registered Mar 4, 2011 (4 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address