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.
- M••••• S•••••• wirehouse currentsince Sep 23, 2024 · Wellesley, Ma
- S•••••••• S••••••••• BD affiliatedJun 30, 2023 to May 7, 2024 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 16, 2023 to Apr 6, 2023 · Smithfield, Ri
- S•••••••• S••••••••• to M••••• S••••••left May 7, 2024, registered Sep 23, 2024 (139 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• S•••••••••left Apr 6, 2023, registered Jun 30, 2023 (85 days) · Affiliated broker-dealer or bank to another
- G••••• B•••••• left S•••••••• S••••••••• for M••••• S•••••• (registered 2024-09-23)May 7, 2024 · Advisor changed firm · fact
- G••••• B•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for S•••••••• S••••••••• (registered 2023-06-30)Apr 6, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address