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••••• F••••••• W••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Apr 4, 2013 · Springfield, Ma
- M•• F•••••••• S•••••••• I••• formerNov 29, 2016 to Mar 25, 2017 · Springfield, Ma
- W•••• E••••• G••••• I••• BD affiliatedApr 13, 2010 to Nov 9, 2012 · Schaumburg, Il
- C•••••• A••••••• L•• asset managerApr 24, 2007 to Nov 20, 2007 · Naperville, Il
- M•• F•••••••• S•••••••• I••• to no registered destinationleft Mar 25, 2017 · Departure, no registered destination
- W•••• E••••• G••••• I••• to M•• I•••••••• S•••••••• L••left Nov 9, 2012, registered Apr 4, 2013 (146 days) · Other
- C•••••• A••••••• L•• to W•••• E••••• G••••• I•••left Nov 20, 2007, registered Apr 13, 2010 (875 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address