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.
Y••• A•••••••• D••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince May 23, 2023 · Wellesley, Ma
- R•• C•••••• M••••••• L•• national BDAug 10, 2017 to Dec 12, 2022 · Boston, Ma
- M••••• S•••••• wirehouseNov 8, 2013 to Aug 9, 2017 · Boston, Ma
- R•• C•••••• M••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 12, 2022, registered May 23, 2023 (162 days) · Other
- M••••• S•••••• to R•• C•••••• M••••••• L••left Aug 9, 2017, registered Aug 10, 2017 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Y••• A•••••••• D•••• left R•• C•••••• M••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-05-23)Dec 12, 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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address