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.
C••••••••• J••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 22, 2022 · Bridgewater, Ma
- C••••••• S••••••••• I••• BD affiliatedNov 14, 2019 to Aug 22, 2022 · Cambridge, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 19, 2017 to Mar 5, 2019 · Boston, Ma
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Aug 22, 2022, registered Sep 22, 2022 (31 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Mar 5, 2019, registered Nov 14, 2019 (254 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• J••• M•••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-09-22)Aug 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address