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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- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 31, 2011 · Storrs, Ct
- T•••• S••••• S••••••••• I••• formerFeb 23, 2007 to Oct 13, 2011 · Irwin, Pa
- W••••••• F•••••••• S•••••••• I••• formerMay 4, 2006 to Feb 6, 2007 · Storrs, Ct
- T•••• S••••• S••••••••• I••• formerFeb 15, 2002 to Mar 8, 2006 · Storrs, Ct
- T•••• S••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 13, 2011, registered Oct 31, 2011 (18 days) · Other
- W••••••• F•••••••• S•••••••• I••• to T•••• S••••• S••••••••• I•••left Feb 6, 2007, registered Feb 23, 2007 (17 days) · Other
- T•••• S••••• S••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 8, 2006, registered May 4, 2006 (57 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address