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.
R•••••• F•••• W••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Salem, Nh
- C••• B•••••••• S•••••••• I••• formerMay 1, 2020 to May 18, 2022 · Portsmouth, Nh
- T••••• W••••• M••••••••• P••••••• formerNov 2, 2018 to May 12, 2020 · Cambridge, Ma
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- T••••• W••••• M••••••••• P••••••• to C••• B•••••••• S•••••••• I•••left May 12, 2020, registered May 1, 2020 (-11 days) · RIA to affiliated broker-dealer or bank
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