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.
A••••• A• L•••
- O••••••••• S••••••••• I••• BD affiliated currentsince Sep 18, 2020 · Providence, Ri
- P••• A••••• S••••••••• L•• BD affiliatedMar 1, 2018 to Sep 10, 2020 · Cranston, Ri
- S••••••• I••••••••• I••• formerSep 19, 2008 to Jan 22, 2018 · Warwick, Ri
- A••••••••• F•••••••• S•••••••• L•• national BDJun 15, 2004 to Jul 11, 2008 · Cranston, Ri
- P••• A••••• S••••••••• L•• to O••••••••• S••••••••• I•••left Sep 10, 2020, registered Sep 18, 2020 (8 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to P••• A••••• S••••••••• L••left Jan 22, 2018, registered Mar 1, 2018 (38 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••• I••••••••• I•••left Jul 11, 2008, registered Sep 19, 2008 (70 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address