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.
K••• S•••••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Aug 3, 2023 · Manchester, Nh
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 22, 2017 · Colchester, Vt
- M•• F•••••••• S•••••••• I••• formerJan 22, 2015 to Mar 25, 2017 · Colchester, Vt
- P••••••• S••••••••• I••• formerDec 4, 2014 to Jan 9, 2015 · Bridgeport, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedNov 9, 2010 to Nov 25, 2014 · Cohoes, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJun 8, 2009 to Sep 24, 2010 · Shelburne, Vt
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 18, 2003 to Feb 6, 2009 · Burlington, Vt
- M•• I•••••••• S•••••••• L•• to T• P•••••• C••••• W••••• L••left Nov 22, 2017, registered Aug 3, 2023 (2080 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jan 9, 2015, registered Jan 22, 2015 (13 days) · Other
- K•• I••••••••• S••••••• L•• to P••••••• S••••••••• I•••left Nov 25, 2014, registered Dec 4, 2014 (9 days) · Other
- A••••• A•• P••••••• S••••••• to K•• I••••••••• S••••••• L••left Sep 24, 2010, registered Nov 9, 2010 (46 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Feb 6, 2009, registered Jun 8, 2009 (122 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address