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.
D•••••• W•••••• S•••
- W••••••• C•••••• M••••••••• I•• independent RIA currentsince Dec 23, 2020 · Middletown, Ri
- M••••• G••••• A••••••• I••• independent RIAJun 2, 2015 to Dec 22, 2020 · Radnor, Pa
- A••••• A•• P••••••• S••••••• BD affiliatedOct 22, 2013 to Jun 3, 2015 · Providence, Ri
- S•••••••• A••••••• L•• national BDApr 18, 2012 to Oct 10, 2013 · Braintree, Ma
- C•••••• R••••••• • I••••••••• G•••• I•• independent RIAJan 18, 2008 to Feb 3, 2012 · Southport, Ct
- C•••••• S••••• • C••• I••• national BDAug 30, 2000 to Jan 29, 2004 · West Hartford, Ct
- M••••• G••••• A••••••• I••• to W••••••• C•••••• M••••••••• I••left Dec 22, 2020, registered Dec 23, 2020 (1 days) · RIA to RIA
- A••••• A•• P••••••• S••••••• to M••••• G••••• A••••••• I•••left Jun 3, 2015, registered Jun 2, 2015 (-1 days) · Other
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 10, 2013, registered Oct 22, 2013 (12 days) · Other
- C•••••• R••••••• • I••••••••• G•••• I•• to S•••••••• A••••••• L••left Feb 3, 2012, registered Apr 18, 2012 (75 days) · Other
- C•••••• S••••• • C••• I••• to C•••••• R••••••• • I••••••••• G•••• I••left Jan 29, 2004, registered Jan 18, 2008 (1450 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address