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•••••• J• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 7, 2020 · Madison, Ct
- E••••• J•••• national BDJan 4, 2017 to Dec 11, 2019 · Westerly, Ri
- C••••••••• I••••••••• S••••••• formerApr 25, 2005 to Dec 27, 2016 · Providence, Ri
- C••••••• • C••• I••• formerFeb 4, 2005 to Feb 7, 2005 · Providence, Ri
- M••••• S•••••• D• I••• unclassifiedMar 18, 1998 to Feb 7, 2005 · Middletown, Ri
- E••••• J•••• to L•• F•••••••• L••left Dec 11, 2019, registered Jan 7, 2020 (27 days) · Affiliated broker-dealer or bank to another
- C••••••••• I••••••••• S••••••• to E••••• J••••left Dec 27, 2016, registered Jan 4, 2017 (8 days) · Other
- C••••••• • C••• I••• to C••••••••• I••••••••• S•••••••left Feb 7, 2005, registered Apr 25, 2005 (77 days) · Other
- M••••• S•••••• D• I••• to C••••••• • C••• I•••left Feb 7, 2005, registered Feb 4, 2005 (-3 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address