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•••••• H•••• G•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 30, 2020 · Fairfield, Ia
- C••••••• • C••• I••• formerJan 29, 2019 to Feb 10, 2020 · Malden, Ma
- S••••••• I••••••••• I••• formerOct 4, 2013 to Sep 19, 2018 · Boston, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 15, 2011 to Jun 4, 2012 · Woburn, Ma
- C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 10, 2020, registered Jan 30, 2020 (-11 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to C••••••• • C••• I•••left Sep 19, 2018, registered Jan 29, 2019 (132 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••• I••••••••• I•••left Jun 4, 2012, registered Oct 4, 2013 (487 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