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.
W•••••• S••• W•••
- W•••• F•••• A••••••• wirehouse currentsince Oct 15, 2020 · Burlington, Vt
- U•• F•••••••• S••••••• I••• wirehouseJul 3, 2008 to Oct 23, 2020 · South Burlington, Vt
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 9, 2008 · Burlington, Vt
- M••••• S•••••• D• I••• unclassifiedDec 7, 1994 to Apr 2, 2007 · Burlington, Vt
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 23, 2020, registered Oct 15, 2020 (-8 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Jul 9, 2008, registered Jul 3, 2008 (-6 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address