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.
E••• P••• M•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 26, 2021 · Newton, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDJul 17, 2019 to Dec 3, 2020 · Boston, Ma
- I•••••• A•••••••• I••• asset managerAug 18, 2017 to Jul 9, 2019 · Boston, Ma
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Dec 3, 2020, registered Jan 26, 2021 (54 days) · Affiliated broker-dealer or bank to another
- I•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 9, 2019, registered Jul 17, 2019 (8 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address