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.
D•••• P••• D••••••
- B•••••• W••••• A•••••••• L•• state registered currentsince Jan 15, 2019 · Warwick, Ri
- B•••••• W••••• A•••••••• L•• state registeredJun 12, 2018 to Dec 31, 2018 · Warwick, Ri
- 1•• G••••• A••••••• I•• formerJan 4, 2017 to Jun 12, 2018 · Warwick, Ri
- B•••••• W••••• A•••••••• L•• formerJun 25, 2003 to Jan 4, 2011 · Warwick, Ri
- C••••••• R•••••••• I••••••••• A••••••• L•• formerFeb 2, 1999 to May 3, 2012 · Warwick, Ri
- 1•• G••••• A••••••• I•• to B•••••• W••••• A•••••••• L••left Jun 12, 2018, registered Jun 12, 2018 (0 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
- C••••••• R•••••••• I••••••••• A••••••• L•• to B•••••• W••••• A•••••••• L••left May 3, 2012, registered Jun 25, 2003 (-3235 days) · Other
- B•••••• W••••• A•••••••• L•• to 1•• G••••• A••••••• I••left Jan 4, 2011, registered Jan 4, 2017 (2192 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address