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.
N••• T••••• D••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Fort Myers, Fl
- S••••••••• A•••••• A•••••••• I••• formerAug 2, 2016 to Jun 14, 2024 · Bristol, Ct
- C••••• A••••••• L•• formerJan 1, 2004 to Aug 23, 2016 · Greenwood Village, Co
- V••••• S••••••••• C••••••••• unclassifiedApr 12, 1999 to Jan 1, 2004 · Bristol, Ct
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 23, 2016, registered Aug 2, 2016 (-21 days) · Other
- V••••• S••••••••• C••••••••• to C••••• A••••••• L••left Jan 1, 2004, registered Jan 1, 2004 (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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address