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.
P•••••• D••••••••• S••••
- P•••••• I••••••••• A••••••• L•• independent RIA currentsince Jan 5, 2013 · Las Vegas, Nv
- T•• S•••••••• F•••••••• A••••••• BD affiliatedJan 13, 2010 to Sep 7, 2012 · Andover, Ma
- I•••••••• C•••••• A••••••• formerJan 13, 2005 to Dec 10, 2009 · Andover, Ma
- E•••••• P•••• A••••••• I••• unclassifiedSep 8, 2003 to Dec 31, 2004
- T•• S•••••••• F•••••••• A••••••• to P•••••• I••••••••• A••••••• L••left Sep 7, 2012, registered Jan 5, 2013 (120 days) · Other
- I•••••••• C•••••• A••••••• to T•• S•••••••• F•••••••• A•••••••left Dec 10, 2009, registered Jan 13, 2010 (34 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 13, 2005 (13 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address