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.
Z•••••• J• R•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 1, 2021 · Boston, Ma
- W•••• F•••• A••••••• wirehouseJun 17, 2019 to Oct 19, 2020 · Boston, Ma
- H•••••• T••••••• • K•••• L•• independent RIAApr 30, 2019 to Jun 14, 2019 · Waltham, Ma
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Oct 19, 2020, registered Mar 1, 2021 (133 days) · Wirehouse to wirehouse
- H•••••• T••••••• • K•••• L•• to W•••• F•••• A•••••••left Jun 14, 2019, registered Jun 17, 2019 (3 days) · Affiliated broker-dealer or bank to wirehouse
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address