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.
- V•••• W•• A••••••• state registered currentsince Aug 28, 2020 · Charlestown, Ma
- P••••• • R•••• otherSep 29, 2022 to Jun 7, 2023 · Boston, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 5, 2019 to Dec 31, 2019 · Boston, Ma
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerFeb 20, 2018 to Mar 5, 2019 · Boston, Ma
- B•••••••• I••••••••• M••••••••• L•• asset managerJan 10, 2017 to Oct 26, 2017 · Boston, Ma
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerMar 4, 2014 to Jan 4, 2017 · Boston, Ma
- P••••• • R•••• to no registered destinationleft Jun 7, 2023 · Departure, no registered destination
- M•• I•••••••• S•••••••• L•• to V•••• W•• A•••••••left Dec 31, 2019, registered Aug 28, 2020 (241 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C••••••• M••••••••• I••••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 5, 2019, registered Apr 5, 2019 (31 days) · Other
- B•••••••• I••••••••• M••••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left Oct 26, 2017, registered Feb 20, 2018 (117 days) · Other
- C••••••• M••••••••• I••••••••• A•••••••• L•• to B•••••••• I••••••••• M••••••••• L••left Jan 4, 2017, registered Jan 10, 2017 (6 days) · Other · moved with a team
- A••••• H•••• no longer registered at P••••• • R••••; no later IA registration on IAPDJun 7, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address