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.
E•••••• T•••• S•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 4, 2021 · Barre, Vt
- A••••• A•• P••••••• S••••••• BD affiliatedApr 17, 2015 to Nov 13, 2020 · Williston, Vt
- P••••••• S••••••••• I••• formerDec 16, 2009 to Mar 27, 2015 · Montpelier, Vt
- C••••••••• S••••••••• L••• unclassifiedNov 8, 2007 to Oct 28, 2009 · Barre, Vt
- A••••• A•• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 13, 2020, registered Jan 4, 2021 (52 days) · Affiliated broker-dealer or bank to another
- P••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Mar 27, 2015, registered Apr 17, 2015 (21 days) · Other
- C••••••••• S••••••••• L••• to P••••••• S••••••••• I•••left Oct 28, 2009, registered Dec 16, 2009 (49 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address