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.
P••• J••••• F•••••••
- A••••• F•••••••• A•••••••• L•• independent RIA currentsince Jul 19, 2012 · Charlotte, Nc
- S•••••••• A••••••• L•• national BDAug 16, 2011 to Jan 20, 2012 · West Hartford, Ct
- V••• R••••••••• A•••••••• L•• otherMar 24, 2009 to Jul 29, 2011 · Quincy, Ma
- P••••••••• R••••••••• B•••••••• S•••••••• I••• unclassifiedNov 18, 2002 to Dec 3, 2004 · Hartford, Ct
- S•••••••• A••••••• L•• to A••••• F•••••••• A•••••••• L••left Jan 20, 2012, registered Jul 19, 2012 (181 days) · Other
- V••• R••••••••• A•••••••• L•• to S•••••••• A••••••• L••left Jul 29, 2011, registered Aug 16, 2011 (18 days) · Other
- P••••••••• R••••••••• B•••••••• S•••••••• I••• to V••• R••••••••• A•••••••• L••left Dec 3, 2004, registered Mar 24, 2009 (1572 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address