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.
J••••• R••••• S••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 25, 2022 · Nederland, Co
- C••••••• S••••••••• I••• BD affiliatedMar 8, 2018 to Aug 12, 2022 · W. Roxbury, Ma
- M••••• L•• independent RIAJan 17, 2018 to Feb 14, 2018 · Bosto, Ma
- C••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Aug 12, 2022, registered Sep 25, 2022 (44 days) · Affiliated broker-dealer or bank to another
- M••••• L•• to C••••••• S••••••••• I•••left Feb 14, 2018, registered Mar 8, 2018 (22 days) · Other
- J••••• R••••• S•••• left C••••••• S••••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2022-09-25)Aug 12, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address