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.
N••••••• F••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Oct 2, 2020 · Boston, Ma
- E•••••••• A•••••••• L•• national BDDec 19, 2017 to Oct 6, 2020 · Wellesley, Ma
- E•••••• F•••••••• E•••••• independent RIAJan 16, 2015 to Mar 10, 2016 · Boston, Ma
- B••••••••• P••••••• independent RIAApr 14, 2014 to Nov 7, 2014 · Waltham, Ma
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 6, 2020, registered Oct 2, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- E•••••• F•••••••• E•••••• to E•••••••• A•••••••• L••left Mar 10, 2016, registered Dec 19, 2017 (649 days) · Other
- B••••••••• P••••••• to E•••••• F•••••••• E••••••left Nov 7, 2014, registered Jan 16, 2015 (70 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address