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.
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- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Marlborough, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 11, 2016 to Nov 29, 2017 · Westborough, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDMar 26, 2009 to Aug 19, 2013 · Westborough, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 19, 2013, registered Jan 11, 2016 (875 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address