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.
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J••••••• R••••• D••••
- J••• H•••••• I••••••••• M••••••••• L•• asset manager currentsince Nov 8, 2018 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerDec 15, 2017 to Nov 8, 2018 · Boston, Ma
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliatedOct 4, 2016 to Dec 1, 2017 · Boston, Ma
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 7, 2015 · Bangor, Me
- N•• E•••••• S••••••••• C••••••••• formerOct 10, 2014 to Jan 2, 2015 · Bangor, Me
- M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Nov 8, 2018, registered Nov 8, 2018 (0 days) · corporate re-registration, not a move
- J••• H•••••• P••••••• F•••••••• S•••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 1, 2017, registered Dec 15, 2017 (14 days) · Other
- M•• F•••••••• S•••••••• I••• to J••• H•••••• P••••••• F•••••••• S•••••••• L••left May 7, 2015, registered Oct 4, 2016 (516 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address