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•••• J•••••• R••••
- R•••• R••••••••• P•••••••• L•• state registered currentsince Feb 10, 2020 · Mashpee, Ma
- S•••••••• P••••••• G••••• I••• independent RIASep 24, 2018 to Feb 12, 2020 · Wellesley, Ma
- C••••• F•••••••• G•••• L•• independent RIAOct 18, 2017 to Sep 18, 2018 · Falmouth, Ma
- V••• E••••• M••••••••• L•• independent RIAFeb 17, 2015 to Feb 21, 2018 · East Falmouth, Ma
- H••••• I••••••••• M••••••••• L•• independent RIADec 23, 2013 to Feb 5, 2015 · Falmouth, Ma
- S•••••••• P••••••• G••••• I••• to R•••• R••••••••• P•••••••• L••left Feb 12, 2020, registered Feb 10, 2020 (-2 days) · RIA to a state-registered adviser
- C••••• F•••••••• G•••• L•• to S•••••••• P••••••• G••••• I•••left Sep 18, 2018, registered Sep 24, 2018 (6 days) · RIA to RIA
- V••• E••••• M••••••••• L•• to C••••• F•••••••• G•••• L••left Feb 21, 2018, registered Oct 18, 2017 (-126 days) · Other · moved with a team
- H••••• I••••••••• M••••••••• L•• to V••• E••••• M••••••••• L••left Feb 5, 2015, registered Feb 17, 2015 (12 days) · Other · moved with a team
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
- STATE REGISTEREDderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address