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.
D•••••• P•••••• G••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 19, 2022 · Wayland, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliatedNov 3, 2020 to Jan 4, 2022 · Westwood, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 4, 2022, registered Jan 19, 2022 (15 days) · Affiliated broker-dealer or bank to another
- D•••••• P•••••• G•••• left J••• H•••••• P••••••• F•••••••• S•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-01-19)Jan 4, 2022 · 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
- 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