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.
O•••• G• R••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2021 · Revere, Ma
- S•••••••• S••••••••• BD affiliatedSep 23, 2019 to Aug 13, 2021 · Lexington, Ma
- C••••••• S••••••••• I••• BD affiliatedMay 28, 2019 to Sep 17, 2019 · Burlington, Ma
- S•••••••• S••••••••• to J••• M••••• S••••••••• L••left Aug 13, 2021, registered Oct 1, 2021 (49 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Sep 17, 2019, registered Sep 23, 2019 (6 days) · Affiliated broker-dealer or bank to another
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