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.
T••••• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 27, 2022 · Boston, Ma
- O••••••••• • C•• I••• BD affiliatedNov 17, 2020 to Sep 23, 2022 · Boston, Ma
- C•••••• S••••• • C••• I••• national BDNov 19, 2019 to Dec 18, 2019 · Mashpee, Ma
- O••••••••• • C•• I••• to J••• M••••• S••••••••• L••left Sep 23, 2022, registered Oct 27, 2022 (34 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to O••••••••• • C•• I•••left Dec 18, 2019, registered Nov 17, 2020 (335 days) · Affiliated broker-dealer or bank to another
- T••••• M••••• left O••••••••• • C•• I••• for J••• M••••• S••••••••• L•• (registered 2022-10-27)Sep 23, 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