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.
S•••••• M•••••• V••••
- O•••• I••••••••• I••• BD affiliated currentsince May 2, 2022 · Warwick, Ri
- O•••• W•••••• I••• BD affiliatedAug 5, 2019 to May 3, 2022 · Warwick, Ri
- C••• B•••••••• S•••••••• I••• formerNov 13, 2017 to Aug 8, 2019 · Warwick, Ri
- S•••••••• S••••••••• BD affiliatedJun 23, 2014 to Nov 8, 2017 · Seekonk, Ma
- O•••• W•••••• I••• to O•••• I••••••••• I•••left May 3, 2022, registered May 2, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to O•••• W•••••• I•••left Aug 8, 2019, registered Aug 5, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to C••• B•••••••• S•••••••• I•••left Nov 8, 2017, registered Nov 13, 2017 (5 days) · Other
- S•••••• M•••••• V•••• left O•••• W•••••• I••• for O•••• I••••••••• I••• (registered 2022-05-02)May 3, 2022 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address