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.
C•••• A•• S••••••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince May 5, 2021 · Wilbraham, Ma
- C••••• A•••••• N••••••• L•• formerApr 7, 2021 to Apr 30, 2021 · Wilbraham, Ma
- S••••• F•••••••• G•••• I•• formerMar 26, 2019 to Apr 30, 2021 · Wilbraham, Ma
- W•••• F•••• A••••••• wirehouseMar 18, 2011 to Mar 18, 2019 · Wilbraham, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 22, 2011 · Springfield, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2006 to Oct 23, 2009 · Chicopee, Ma
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left Apr 30, 2021, registered Apr 7, 2021 (-23 days) · channel change inside one enterprise, not a move
- C••••• A•••••• N••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Apr 30, 2021, registered May 5, 2021 (5 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••left Mar 18, 2019, registered Mar 26, 2019 (8 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 22, 2011, registered Mar 18, 2011 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address