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••••• W••••
- S•••••••• S••••••••• BD affiliated currentsince Nov 27, 2019 · Providence, Ri
- A••••• A•• P••••••• S••••••• BD affiliatedAug 25, 2015 to Apr 26, 2019 · Providence, Ri
- T• P•••••• C••••• W••••• L•• BD affiliatedMay 9, 2013 to Apr 8, 2015 · Hartford, Ct
- W•••• F•••• A••••••• wirehouseJul 16, 2010 to Apr 4, 2013 · Minneapolis, Mn
- E•••• F•••••••• S•••••••• I••• independent RIAMay 22, 2009 to Dec 23, 2009 · E••••, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 16, 2006 to Mar 25, 2009 · Hartford, Ct
- C••••••• S••••••••• I••• BD affiliatedFeb 10, 2004 to Jun 20, 2006 · Old Lyme, Ct
- M••••• S•••••• D• I••• unclassifiedJun 8, 1998 to Jan 30, 2004 · Mystic, Ct
- A••••• A•• P••••••• S••••••• to S•••••••• S•••••••••left Apr 26, 2019, registered Nov 27, 2019 (215 days) · Affiliated broker-dealer or bank to another
- T• P•••••• C••••• W••••• L•• to A••••• A•• P••••••• S•••••••left Apr 8, 2015, registered Aug 25, 2015 (139 days) · Other
- W•••• F•••• A••••••• to T• P•••••• C••••• W••••• L••left Apr 4, 2013, registered May 9, 2013 (35 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E•••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 23, 2009, registered Jul 16, 2010 (205 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••• F•••••••• S•••••••• I•••left Mar 25, 2009, registered May 22, 2009 (58 days) · Other
- C••••••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 20, 2006, registered Jun 16, 2006 (-4 days) · Other
- M••••• S•••••• D• I••• to C••••••• S••••••••• I•••left Jan 30, 2004, registered Feb 10, 2004 (11 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address