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.
A••••• M•••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 30, 2023 · Chicago, Il
- V••••••• W••••• M••••••••• formerAug 12, 2021 to Jul 19, 2023 · Portland, Me
- P••••• I••••••••• M••••••••• L•• asset managerFeb 9, 2021 to May 24, 2021 · Boston, Ma
- V••••••• W••••• M••••••••• to H•••••••• A•••••••• L••left Jul 19, 2023, registered Jun 30, 2023 (-19 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P••••• I••••••••• M••••••••• L•• to V••••••• W••••• M•••••••••left May 24, 2021, registered Aug 12, 2021 (80 days) · Other
- A••••• M••••••• left V••••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-06-30)Jul 19, 2023 · 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