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.
D••••• J• F•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 19, 2022 · Hingham, Ma
- S•••••••• S••••••••• BD affiliatedOct 6, 2021 to Jul 26, 2022 · Dedham, Ma
- S•••••••• S••••••••• BD affiliatedMay 31, 2018 to Apr 9, 2021 · Walpole, Ma
- E•••• S••••••••• L•• BD affiliatedFeb 27, 2018 to May 21, 2018 · Bridgewater, Ma
- S•••••••• S••••••••• to J••• M••••• S••••••••• L••left Jul 26, 2022, registered Aug 19, 2022 (24 days) · Affiliated broker-dealer or bank to wirehouse
- E•••• S••••••••• L•• to S•••••••• S•••••••••left May 21, 2018, registered May 31, 2018 (10 days) · Affiliated broker-dealer or bank to another
- D••••• J• F••••••• left S•••••••• S••••••••• for J••• M••••• S••••••••• L•• (registered 2022-08-19)Jul 26, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address