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•••••• G••••• B••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Newark, De
- S••••••••• A•••••• A•••••••• I••• formerMar 25, 2016 to Jun 14, 2024 · Wilmington, De
- P••••••••• S••••••••• C••••••••• independent RIAOct 7, 2013 to Apr 1, 2016 · Wilmington, De
- V•••••••• F••••••••• L•• formerMay 15, 2008 to Oct 7, 2013 · Windsor, Vt
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- P••••••••• S••••••••• C••••••••• to S••••••••• A•••••• A•••••••• I•••left Apr 1, 2016, registered Mar 25, 2016 (-7 days) · Other
- V•••••••• F••••••••• L•• to P••••••••• S••••••••• C•••••••••left Oct 7, 2013, registered Oct 7, 2013 (0 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address