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.
- A••••••••• state registered currentsince Mar 26, 2024 · Hingham, Ma
- N•••••• A•••••••• L•• BD affiliatedJan 24, 2011 to Jul 17, 2023 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 2, 2010 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 4, 2009 to Oct 23, 2009 · Boston, Ma
- N•••••• A•••••••• L•• to A•••••••••left Jul 17, 2023, registered Mar 26, 2024 (253 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••• A•••••••• L••left Nov 2, 2010, registered Jan 24, 2011 (83 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- J••• P•••••• G•••• left N•••••• A•••••••• L•• for Assetalign (registered 2024-03-26)Jul 17, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address