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.
J•••• L•••• W••••••
- W••••• A••••••• S•••••••• L•• institutional currentsince Jun 28, 2024 · Providence, Ri
- G••••• R••••••••• P••••••• L•• institutionalApr 2, 2019 to Jul 13, 2024 · Providence, Ri
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 20, 2016 to Apr 1, 2019 · Providence, Ri
- M• H••••••• S••••••••• I••• BD affiliatedApr 11, 2006 to May 5, 2006 · Providence, Ri
- N•• A•••••• S•••••••• L•• formerMar 29, 2006 to Sep 22, 2016 · Providence, Ri
- M• H••••••• S••••••••• I••• BD affiliatedAug 23, 2002 to Apr 11, 2006 · Providence, Ri
- G••••• R••••••••• P••••••• L•• to W••••• A••••••• S•••••••• L••left Jul 13, 2024, registered Jun 28, 2024 (-15 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to G••••• R••••••••• P••••••• L••left Apr 1, 2019, registered Apr 2, 2019 (1 days) · corporate re-registration, not a move
- N•• A•••••• S•••••••• L•• to M• H••••••• S••••••••• I•••left Sep 22, 2016, registered Apr 11, 2006 (-3817 days) · Other
- M• H••••••• S••••••••• I••• to K••••• A••••••• S•••••••• L••left May 5, 2006, registered Apr 20, 2016 (3638 days) · Other
- M• H••••••• S••••••••• I••• to N•• A•••••• S•••••••• L••left Apr 11, 2006, registered Mar 29, 2006 (-13 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
- Institutional managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address