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.
N••••••• J••••• C•••••••••
- J•••••• B••••••• independent RIA currentsince Nov 28, 2018 · Wethersfield, Ct
- L•• F•••••••• L•• BD affiliatedNov 27, 2017 to Dec 3, 2018 · Waltham, Ma
- I••••••••• W••••• C••••••• L•• independent RIAOct 21, 2016 to Nov 26, 2018 · Waltham, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 3, 2013 to Oct 24, 2016 · Sudbury, Ma
- L•• F•••••••• L•• to J•••••• B•••••••left Dec 3, 2018, registered Nov 28, 2018 (-5 days) · RIA to RIA
- I••••••••• W••••• C••••••• L•• to L•• F•••••••• L••left Nov 26, 2018, registered Nov 27, 2017 (-364 days) · RIA to RIA
- V••• F•••••••• A•••••••• I••• to I••••••••• W••••• C••••••• L••left Oct 24, 2016, registered Oct 21, 2016 (-3 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address