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.
E••• H•••• R••••••
- B••••• Y••• H•••••• L•• independent RIA currentsince Aug 23, 2013 · Boston, Ma
- B••••••••• A•••• M••••••••• L•• state registeredFeb 4, 2013 to Oct 16, 2013 · Hampton, Nh
- C••••••••• F•••••••• N•••••• national BDNov 17, 2010 to Jan 22, 2013 · Lynn, Ma
- S•• I••••••••• I••• formerFeb 9, 2009 to Oct 14, 2009 · Westborough, Ma
- I•••••••• C•••••• A••••••• formerMar 17, 2008 to Feb 4, 2009 · Lynn, Ma
- B••••••••• A•••• M••••••••• L•• to B••••• Y••• H•••••• L••left Oct 16, 2013, registered Aug 23, 2013 (-54 days) · Other
- C••••••••• F•••••••• N•••••• to B••••••••• A•••• M••••••••• L••left Jan 22, 2013, registered Feb 4, 2013 (13 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S•• I••••••••• I••• to C••••••••• F•••••••• N••••••left Oct 14, 2009, registered Nov 17, 2010 (399 days) · Other
- I•••••••• C•••••• A••••••• to S•• I••••••••• I•••left Feb 4, 2009, registered Feb 9, 2009 (5 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address