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.
F•••••••• P••• R•••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 19, 2022 · Burlington, Vt
- C••••••• S••••••••• I••• BD affiliatedApr 23, 2013 to Jul 19, 2022 · Rutland, Vt
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 10, 2013 · Colchester, Vt
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Burlington, Vt
- M••••• S•••••• D• I••• unclassifiedFeb 9, 1999 to Apr 2, 2007 · Burlington, Vt
- C••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jul 19, 2022, registered Jul 19, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C••••••• S••••••••• I•••left Apr 10, 2013, registered Apr 23, 2013 (13 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- F•••••••• P••• R••••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-07-19)Jul 19, 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address