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.
S•••••• H••••• L•••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Aug 31, 2020 · Dennis, Ma
- M•••• • C••••• I•• BD affiliatedAug 2, 2007 to Sep 1, 2020 · Boston, Ma
- W••••••• E•••• • C••••••• I••• formerSep 29, 2005 to Aug 1, 2007 · Boston, Ma
- M•••• • C••••• I•• to B• R•••• W••••• A•••••••• I•••left Sep 1, 2020, registered Aug 31, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- W••••••• E•••• • C••••••• I••• to M•••• • C••••• I••left Aug 1, 2007, registered Aug 2, 2007 (1 days) · Other
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address