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.
F•••••••• A••••• B••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 29, 2021 · Newport, Ri
- C••••••• S••••••••• I••• BD affiliatedAug 12, 2020 to Jun 11, 2021 · Newton, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 26, 2018 to Jul 31, 2020 · West Warwick, Ri
- G•• S••••••••• I••• BD affiliatedFeb 13, 2018 to Apr 6, 2018 · Falmouth, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 8, 2014 to May 6, 2014 · Providence, Ri
- M••••• S•••••• wirehouseJun 25, 2013 to Mar 5, 2014 · Providence, Ri
- C••• B•••••••• S•••••••• I••• formerNov 29, 2007 to Feb 1, 2008 · Waverly, Ia
- S•••••••• A••••••• L•• national BDMay 18, 2004 to Apr 22, 2005 · Worcester, Ma
- C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Jun 11, 2021, registered Jun 29, 2021 (18 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to C••••••• S••••••••• I•••left Jul 31, 2020, registered Aug 12, 2020 (12 days) · Affiliated broker-dealer or bank to another
- G•• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Apr 6, 2018, registered Jul 26, 2018 (111 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•• S••••••••• I•••left May 6, 2014, registered Feb 13, 2018 (1379 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 5, 2014, registered Apr 8, 2014 (34 days) · Wirehouse to wirehouse
- C••• B•••••••• S•••••••• I••• to M••••• S••••••left Feb 1, 2008, registered Jun 25, 2013 (1971 days) · Other
- S•••••••• A••••••• L•• to C••• B•••••••• S•••••••• I•••left Apr 22, 2005, registered Nov 29, 2007 (951 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address