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•••••• W•••• C•••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Dec 3, 2020 · North Providence, Ri
- P•••• S••••••••• L•• no RAUMMar 14, 2019 to Nov 30, 2020 · Warwick, Ri
- Q•••••• A•••• M••••••••• I••• formerJan 14, 2013 to Feb 22, 2019 · Minneapolis, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 24, 2002 to Jan 10, 2013 · West Warwick, Ri
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Nov 30, 2020, registered Dec 3, 2020 (3 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to P•••• S••••••••• L••left Feb 22, 2019, registered Mar 14, 2019 (20 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to Q•••••• A•••• M••••••••• I•••left Jan 10, 2013, registered Jan 14, 2013 (4 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address