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.
- W•••• F•••• A••••••• wirehouse currentsince Aug 25, 2021 · Boston, Ma
- S•••••••• S••••••••• BD affiliatedMar 3, 2020 to Aug 23, 2021 · Boston, Ma
- L•••••• I••••••••• independent RIANov 5, 2019 to Feb 12, 2020 · Waltham, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 4, 2015 to Jul 30, 2018 · Braintree, Ma
- S•••••••• S••••••••• to W•••• F•••• A•••••••left Aug 23, 2021, registered Aug 25, 2021 (2 days) · Affiliated broker-dealer or bank to wirehouse
- L•••••• I••••••••• to S•••••••• S•••••••••left Feb 12, 2020, registered Mar 3, 2020 (20 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to L•••••• I•••••••••left Jul 30, 2018, registered Nov 5, 2019 (463 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address