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.
R•••• L•••• G••••••
- S••••• M••••••••• independent RIA currentsince Nov 1, 2024 · North Little Rock, Ar
- A• W••••• M••••••••• L•• BD affiliatedMar 27, 2024 to Sep 20, 2024 · Dartmouth, Ma
- W••••••• F•••••••• S•••••••• I••• formerJul 7, 2004 to Oct 13, 2006 · Needham, Ma
- 1••• C•••••• M••••••••• C•••••• unclassifiedSep 10, 2002 to Dec 17, 2003 · Newton, Ma
- A• W••••• M••••••••• L•• to S••••• M•••••••••left Sep 20, 2024, registered Nov 1, 2024 (42 days) · RIA to RIA
- W••••••• F•••••••• S•••••••• I••• to A• W••••• M••••••••• L••left Oct 13, 2006, registered Mar 27, 2024 (6375 days) · Other
- 1••• C•••••• M••••••••• C•••••• to W••••••• F•••••••• S•••••••• I•••left Dec 17, 2003, registered Jul 7, 2004 (203 days) · Other
- R•••• L•••• G•••••• left A• W••••• M••••••••• L•• for S••••• M••••••••• (registered 2024-11-01)Sep 20, 2024 · Advisor changed firm · fact
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