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•••• P• G•••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 3, 2015 · Needham, Ma
- E•••• S••••••••• L•• BD affiliatedNov 12, 2013 to Jan 20, 2015 · Austin, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 30, 2008 to Oct 10, 2013 · Providence, Ri
- 1•• G••••• A••••••• I•• formerFeb 14, 2005 to Jun 17, 2008 · Portland, Or
- E•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Jan 20, 2015, registered Feb 3, 2015 (14 days) · Other · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to E•••• S••••••••• L••left Oct 10, 2013, registered Nov 12, 2013 (33 days) · Other
- 1•• G••••• A••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Jun 17, 2008, registered Jul 30, 2008 (43 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address