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••••• C• M••••
- S•• G•••••• I••••••••• M••••••••• independent RIA currentsince Feb 11, 2020 · Springfield, Ma
- N•• E•••••• C•••••• formerApr 8, 2019 to Jan 4, 2021 · Northampton, Ma
- N•• E•••••• C•••••• formerSep 24, 2018 to Dec 31, 2018 · Northampton, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 22, 2017 · Florence, Ma
- M•• F•••••••• S•••••••• I••• formerJun 17, 2016 to Mar 25, 2017 · East Longmeadow, Ma
- N•• E•••••• C•••••• to S•• G•••••• I••••••••• M•••••••••left Jan 4, 2021, registered Feb 11, 2020 (-328 days) · RIA to RIA · moved with a team
- M•• I•••••••• S•••••••• L•• to N•• E•••••• C••••••left Dec 22, 2017, registered Sep 24, 2018 (276 days) · Other
- 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
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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address