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.
J•••••• M•••••• B•••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Jun 4, 2018 · Cranston, Ri
- U•• F•••••••• S••••••• I••• wirehouseAug 3, 2007 to Dec 22, 2017 · Providence, Ri
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Aug 6, 2007 · Providence, Ri
- M••••• S•••••• D• I••• unclassifiedAug 11, 2000 to Apr 2, 2007 · Providence, Ri
- U•• F•••••••• S••••••• I••• to K••••• P•••••• W••••• S•••••••• L••left Dec 22, 2017, registered Jun 4, 2018 (164 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Aug 6, 2007, registered Aug 3, 2007 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address