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.
W•••••• R•••••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2017 · Providence, Ri
- A••••• A•• P••••••• S••••••• BD affiliatedDec 15, 2014 to Mar 23, 2017 · Providence, Ri
- L•• F•••••••• L•• BD affiliatedNov 13, 2009 to Nov 18, 2014 · Rockland, Ma
- S••••••••• I••••••••• A••••••• L•• independent RIAAug 3, 2005 to Oct 18, 2005 · Providence, Ri
- A••••••••• F•••••••• S•••••••• L•• national BDJan 21, 2000 to Nov 15, 2004 · East Providence, Ri
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Mar 23, 2017, registered May 15, 2017 (53 days) · Other
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 18, 2014, registered Dec 15, 2014 (27 days) · Other
- S••••••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 18, 2005, registered Nov 13, 2009 (1487 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S••••••••• I••••••••• A••••••• L••left Nov 15, 2004, registered Aug 3, 2005 (261 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address