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••••••••• P•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2022 · Monroe, Ct
- P••••••• U••••• A•••••••• I••• formerJul 10, 2020 to Aug 17, 2022 · Wilmington, De
- C••••••••• S••••••••• L••• unclassifiedApr 16, 2009 to Oct 30, 2009 · Burlington, Vt
- P••••••• S••••••••• I••• formerSep 8, 2001 to Mar 31, 2020 · Norwich, Ct
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to C••••••••• S••••••••• L•••left Mar 31, 2020, registered Apr 16, 2009 (-4002 days) · Other
- C••••••••• S••••••••• L••• to P••••••• U••••• A•••••••• I•••left Oct 30, 2009, registered Jul 10, 2020 (3906 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