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.
G•••••• A••••• G•••••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince May 20, 2020 · Reno, Nv
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 12, 2018 to Feb 4, 2020 · West Warwick, Ri
- O••••••••• • C•• I••• BD affiliatedNov 3, 2014 to Nov 15, 2016 · Providence, Ri
- H•••••• I••• W••••• A••••••• independent RIAAug 1, 2014 to Oct 14, 2014 · Wethersfield, Ct
- M•• I•••••••• S•••••••• L•• to B•••••••• A•••• M••••••••• L••left Feb 4, 2020, registered May 20, 2020 (106 days) · Affiliated broker-dealer or bank to independent RIA
- O••••••••• • C•• I••• to M•• I•••••••• S•••••••• L••left Nov 15, 2016, registered Jan 12, 2018 (423 days) · Other
- H•••••• I••• W••••• A••••••• to O••••••••• • C•• I•••left Oct 14, 2014, registered Nov 3, 2014 (20 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address