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••• A••••• U•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 9, 2021 · Needham, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Dec 31, 2016 · Wakefield, Ma
- M•••••• independent RIAFeb 22, 2012 to Feb 1, 2018 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerFeb 13, 2012 to Jan 2, 2015 · Wellesley, Ma
- M•••••• to M•• F•••••••• S•••••••• I•••left Feb 1, 2018, registered Jan 2, 2015 (-1126 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Dec 31, 2016, registered Aug 9, 2021 (1682 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Feb 22, 2012 (-1045 days) · Other · moved with a team
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