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.
M••• C••••••••• Z••••
- C•••••• A••••••• BD affiliated currentsince Jul 28, 2020 · Amherst, Ma
- O•••• I••••••••• I••• BD affiliatedMay 13, 2019 to May 19, 2020 · Amherst, Ma
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 31, 2017 to May 30, 2019 · Northampton, Ma
- M•• A••••••• F•••••••• M••••••••• I••• formerJul 31, 2017 to Sep 11, 2017 · Wilbraham, Ma
- O•••• I••••••••• I••• to C•••••• A•••••••left May 19, 2020, registered Jul 28, 2020 (70 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• I••••••••• I•••left May 30, 2019, registered May 13, 2019 (-17 days) · Affiliated broker-dealer or bank to another
- M•• A••••••• F•••••••• M••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 11, 2017, registered Oct 31, 2017 (50 days) · Other
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address