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.
S••••• H••• G••••••••
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIA currentsince Dec 24, 2019 · Braintree, Ma
- E••••• J•••• national BDOct 23, 2012 to Dec 5, 2019 · St Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2012 to Oct 5, 2012 · Hyannis, Ma
- E••••• J•••• to M••••• O• O•••• I••••••• S•••••••• I•••left Dec 5, 2019, registered Dec 24, 2019 (19 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Oct 5, 2012, registered Oct 23, 2012 (18 days) · Wirehouse to affiliated broker-dealer or bank
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address