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.
M•••••• M•••••• Z•••••
- M••••• S•••••• wirehouse currentsince May 14, 2010 · Woodstock, Vt
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 18, 2010 · Clinton, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 31, 2006 to Oct 23, 2009 · Old Lyme, Ct
- V•••••• C•••••• M••••••••• L•• formerDec 5, 2005 to Nov 8, 2006 · Fairfield, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Dec 5, 2005 · Clinton, Ct
- Q•••• • R•••••• I••• unclassifiedOct 30, 2003 to Oct 20, 2004 · Orange, Ct
- F••••• I••••••••• independent RIANov 22, 2002 to Oct 23, 2003 · Omaha, Ne
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 18, 2010, registered May 14, 2010 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- V•••••• C•••••• M••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 8, 2006, registered Oct 31, 2006 (-8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to V•••••• C•••••• M••••••••• L••left Dec 5, 2005, registered Dec 5, 2005 (0 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to Q•••• • R•••••• I•••left Oct 23, 2003, registered Oct 30, 2003 (7 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address