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••••• S•••••• wirehouse currentsince Dec 9, 2022 · Boston, Ma
- C••••••• S••••••••• I••• BD affiliatedNov 7, 2017 to Nov 10, 2022 · Johnston, Ri
- L•• F•••••••• L•• BD affiliatedOct 15, 2012 to May 24, 2017 · Boston, Ma
- C•••••• A••••••• S••••••• I••• unclassifiedSep 26, 2007 to Oct 15, 2010 · Waltham, Ma
- C••••••• S••••••••• I••• to M••••• S••••••left Nov 10, 2022, registered Dec 9, 2022 (29 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left May 24, 2017, registered Nov 7, 2017 (167 days) · Other
- C•••••• A••••••• S••••••• I••• to L•• F•••••••• L••left Oct 15, 2010, registered Oct 15, 2012 (731 days) · Other
- V•• C••• L••• left C••••••• S••••••••• I••• for M••••• S•••••• (registered 2022-12-09)Nov 10, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address