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.
R••••• M•••••• S•••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 8, 2021 · Warwick, Ri
- Q•••••• A•••• M••••••••• I••• formerMar 2, 2018 to Mar 16, 2018 · North Attleboro, Ma
- S•••••••• S••••••••• BD affiliatedSep 26, 2012 to Jan 14, 2021 · Smithfield, Ri
- L•• F•••••••• L•• BD affiliatedSep 20, 2011 to Sep 19, 2012 · Worcester, Ma
- W•••••• • R••• formerNov 11, 2010 to Aug 4, 2011 · West Warwick, Ri
- W•••• F•••• A••••••• wirehouseApr 30, 2009 to Nov 15, 2010 · Providence, Ri
- M•• F•••••••• S•••••••• I••• formerApr 13, 2007 to May 1, 2009 · Warwick, Ri
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 12, 2006 to Jul 6, 2006 · Burlington, Ma
- S•••••••• S••••••••• to Q•••••• A•••• M••••••••• I•••left Jan 14, 2021, registered Mar 2, 2018 (-1049 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to C••••••••• F•••••••• N••••••left Mar 16, 2018, registered Jan 8, 2021 (1029 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 26, 2012 (7 days) · corporate re-registration, not a move
- W•••••• • R••• to L•• F•••••••• L••left Aug 4, 2011, registered Sep 20, 2011 (47 days) · Other
- W•••• F•••• A••••••• to W•••••• • R•••left Nov 15, 2010, registered Nov 11, 2010 (-4 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 1, 2009, registered Apr 30, 2009 (-1 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 6, 2006, registered Apr 13, 2007 (281 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address