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.
M•••••• R••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 3, 2020 · Framingham, Ma
- U•••••• W••••• M••••••••• L•• formerApr 5, 2005 to Jun 2, 2020 · Glastonbury, Ct
- G•••••••• F••••••••• I•• unclassifiedSep 16, 2004 to Jul 2, 2008 · Scottsdale, Az
- O•••• W•••••• I••• BD affiliatedMar 21, 2003 to Oct 11, 2004 · Phoenix, Az
- P••••••••• F•••••••• A••••••• unclassifiedDec 16, 2002 to Dec 31, 2004 · Phoenix, Az
- A•••• • F•••••••• P•••••••• L•• formerNov 5, 2001 to Dec 2, 2002 · Phoenix, Az
- U•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Jun 2, 2020, registered Jun 3, 2020 (1 days) · RIA to affiliated broker-dealer or bank
- G•••••••• F••••••••• I•• to U•••••• W••••• M••••••••• L••left Jul 2, 2008, registered Apr 5, 2005 (-1184 days) · Other
- P••••••••• F•••••••• A••••••• to O•••• W•••••• I•••left Dec 31, 2004, registered Mar 21, 2003 (-651 days) · Other
- O•••• W•••••• I••• to G•••••••• F••••••••• I••left Oct 11, 2004, registered Sep 16, 2004 (-25 days) · Other
- A•••• • F•••••••• P•••••••• L•• to P••••••••• F•••••••• A•••••••left Dec 2, 2002, registered Dec 16, 2002 (14 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