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.
T••••• J••••• G••••••
- S••••••••• W••••• M••••••••• L•• independent RIA currentsince Jan 6, 2017 · Williston, Vt
- S••••••••• W••••• M••••••••• L•• independent RIADec 10, 2012 to Dec 31, 2016 · Williston, Vt
- W•••• F•••• A••••••• wirehouseNov 10, 2005 to Dec 7, 2012 · Montpelier, Vt
- W•••• F•••• A••••••• wirehouseDec 6, 2001 to Oct 7, 2005 · Burlington, Vt
- W•••• F•••• A••••••• to S••••••••• W••••• M••••••••• L••left Dec 7, 2012, registered Dec 10, 2012 (3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 7, 2005, registered Nov 10, 2005 (34 days) · channel change inside one enterprise, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address