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••• N••••••• P•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Taunton, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 5, 2009 to Jun 9, 2021 · Dartmouth, Ma
- S•••••••• F••••••••• I••• formerFeb 20, 2007 to Feb 24, 2009 · Dartmouth, Ma
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedApr 19, 2006 to Nov 21, 2006 · Darmouth, Ma
- V••• R••••••••• A•••••••• L•• otherJan 1, 2001 to Feb 6, 2006 · Quincy, Ma
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to V••• F•••••••• A•••••••• I•••left Feb 24, 2009, registered Mar 5, 2009 (9 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to S•••••••• F••••••••• I•••left Nov 21, 2006, registered Feb 20, 2007 (91 days) · Other
- V••• R••••••••• A•••••••• L•• to H••••••••• G••••• E••••• • R••••••••• S•••••••••left Feb 6, 2006, registered Apr 19, 2006 (72 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address