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.
E•••••••• G••••• H••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Aug 4, 2020 · Albany, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 12, 2019 to Aug 5, 2020 · Providence, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2018 to Aug 6, 2019 · Riverside, Ri
- J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••left Aug 5, 2020, registered Aug 4, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Aug 6, 2019, registered Sep 12, 2019 (37 days) · Wirehouse to wirehouse
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address