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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- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince May 6, 2021 · Fernandina Beach, Fl
- N•• E•••••• C•••••• F•••••••• A••••••• L•• independent RIAApr 28, 1998 to May 5, 2021 · Wallingford, Ct
- N•• E•••••• C•••••• F•••••••• A••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left May 5, 2021, registered May 6, 2021 (1 days) · RIA to RIA
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