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.
L•••• J••• M••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Boston, Ma
- M•• F•••••••• S•••••••• I••• formerFeb 28, 2017 to Mar 25, 2017 · Boston, Ma
- M••••• L•• independent RIANov 24, 2014 to Mar 2, 2017 · Boston, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 22, 2014 to Oct 3, 2014 · Boston, Ma
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 2, 2017, registered Feb 28, 2017 (-2 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Nov 24, 2014 (52 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
- 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