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.
O••• T••••• B••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jul 3, 2024 · Weymouth, Ma
- A••••••• P••••••••• A•••••••• I•• formerSep 10, 2012 to Jun 27, 2024 · Holbrook, Ny
- A••••••• P••••••••• A•••••••• I•• to C••••••••• F•••••••• N••••••left Jun 27, 2024, registered Jul 3, 2024 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
- O••• T••••• B•••• left A••••••• P••••••••• A•••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2024-07-03)Jun 27, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address