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.
B•••• A•••••• Z•••
- G•••••• W••••• M••••••••• L•• state registered currentsince Feb 23, 2024 · Plymouth, Ma
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedMay 16, 2019 to Mar 9, 2021 · Orlando, Fl
- P•••• P•••••••• S••••••••• L•• independent RIANov 4, 2011 to May 28, 2013 · Naples, Fl
- B••••• G••••• A•••• M••••••••• BD affiliatedJan 6, 2010 to Mar 1, 2018 · B•••••, Ma
- D•••• G••••• A••••••• unclassifiedMar 12, 2007 to Dec 31, 2009 · Plymouth, Ma
- B••••• G••••• A•••• M••••••••• BD affiliatedMar 15, 2006 to Mar 6, 2007 · B•••••, Ma
- I••••••••• A••••• I••••••••• M••••••••• L•• to G•••••• W••••• M••••••••• L••left Mar 9, 2021, registered Feb 23, 2024 (1081 days) · Affiliated broker-dealer or bank to a state-registered adviser
- B••••• G••••• A•••• M••••••••• to P•••• P•••••••• S••••••••• L••left Mar 1, 2018, registered Nov 4, 2011 (-2309 days) · Other
- P•••• P•••••••• S••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left May 28, 2013, registered May 16, 2019 (2179 days) · RIA to affiliated broker-dealer or bank
- D•••• G••••• A••••••• to B••••• G••••• A•••• M•••••••••left Dec 31, 2009, registered Jan 6, 2010 (6 days) · Other
- B••••• G••••• A•••• M••••••••• to D•••• G••••• A•••••••left Mar 6, 2007, registered Mar 12, 2007 (6 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
- STATE REGISTEREDderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address