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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 3, 2021 · South Hadley, Ma
- V••••••• C•••••• A•••• M••••••••• L•• formerJan 7, 2015 to May 19, 2015 · Belchertown, Ma
- V••• I••••••••• M••••••••• C•• L•• asset managerApr 9, 2008 to Feb 21, 2013 · New York, Ny
- V••••••• C•••••• A•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 19, 2015, registered Mar 3, 2021 (2115 days) · Other
- V••• I••••••••• M••••••••• C•• L•• to V••••••• C•••••• A•••• M••••••••• L••left Feb 21, 2013, registered Jan 7, 2015 (685 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address