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.
E••• C•••••••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 3, 2023 · Greenwood Village, Co
- P••••••• C•••••• A••••••• C••••••••• formerDec 23, 2020 to Apr 3, 2023 · Winthrop, Ma
- S•••••••• S••••••••• BD affiliatedMar 5, 2019 to Dec 7, 2020 · Boston, Ma
- P••••••• S••••••••• I••• formerNov 15, 2016 to Mar 2, 2018 · Boston, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedApr 11, 2012 to Jan 15, 2016 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2011 to Mar 30, 2012 · Boston, Ma
- M••••• S•••••• wirehouseJun 8, 2010 to Jun 17, 2011 · Boston, Ma
- P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to P••••••• C•••••• A••••••• C•••••••••left Dec 7, 2020, registered Dec 23, 2020 (16 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••• S••••••••• I••• to S•••••••• S•••••••••left Mar 2, 2018, registered Mar 5, 2019 (368 days) · Other
- A••••• A•• P••••••• S••••••• to P••••••• S••••••••• I•••left Jan 15, 2016, registered Nov 15, 2016 (305 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Mar 30, 2012, registered Apr 11, 2012 (12 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 17, 2011, registered Aug 3, 2011 (47 days) · Wirehouse to wirehouse
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address