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.
K•••••• E••••• G•••••••
- C••••• H••••••• L•• independent RIA currentsince Jul 18, 2018 · Providence, Ri
- W•••••••• P•••• P•••••••• L•• independent RIAAug 30, 2016 to Jul 24, 2018 · West Palm Beach, Fl
- G•••••••• F••••••••• I•• unclassifiedJun 9, 2005 to Dec 9, 2005 · Boston, Ma
- U•• F•••••••• S••••••• I••• wirehouseDec 21, 1998 to Sep 11, 2002 · Providence, Ri
- W•••••••• P•••• P•••••••• L•• to C••••• H••••••• L••left Jul 24, 2018, registered Jul 18, 2018 (-6 days) · RIA to a newly registered adviser · moved with a team
- G•••••••• F••••••••• I•• to W•••••••• P•••• P•••••••• L••left Dec 9, 2005, registered Aug 30, 2016 (3917 days) · Other
- U•• F•••••••• S••••••• I••• to G•••••••• F••••••••• I••left Sep 11, 2002, registered Jun 9, 2005 (1002 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address