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•••• M•••• G••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 30, 2013 · East Greenwich, Ri
- M•••••• independent RIAMar 31, 2010 to Sep 3, 2013 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerAug 3, 2007 to Sep 5, 2013 · Saunderstown, Ri
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Aug 10, 2007 · New York, Ny
- M••• S••••••••• C••••••••• unclassifiedApr 30, 2004 to Jun 1, 2005 · Saunderstown, Ri
- T•••••• S••••••••• A••••••• C•••• unclassifiedApr 17, 2001 to Dec 31, 2002 · Saunderstown, Ri
- M••• S••••••••• C••••••••• unclassifiedAug 22, 2000 to Dec 10, 2002 · Kingston, Ri
- N•• E•••••• S••••••••• C••••••••• to M••••••left Sep 5, 2013, registered Mar 31, 2010 (-1254 days) · Other
- M•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 3, 2013, registered Aug 30, 2013 (-4 days) · Other
- E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Aug 10, 2007, registered Aug 3, 2007 (-7 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (0 days) · corporate re-registration, not a move
- T•••••• S••••••••• A••••••• C•••• to M••• S••••••••• C•••••••••left Dec 31, 2002, registered Apr 30, 2004 (486 days) · Other
- M••• S••••••••• C••••••••• to T•••••• S••••••••• A••••••• C••••left Dec 10, 2002, registered Apr 17, 2001 (-602 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