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.
E••• A•••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 22, 2024 · Cranston, Ri
- O•••• F•• I••• formerOct 4, 2019 to May 21, 2024 · Cranston, Ri
- S•••• W••••• M••••••••• L•• BD affiliatedOct 4, 2017 to Oct 7, 2019 · Providence, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 2, 2017 · Providence, Ri
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 23, 2006 to Oct 23, 2009 · Warren, Ri
- O•••• F•• I••• to L•• F•••••••• L••left May 21, 2024, registered May 22, 2024 (1 days) · corporate re-registration, not a move
- S•••• W••••• M••••••••• L•• to O•••• F•• I•••left Oct 7, 2019, registered Oct 4, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••• W••••• M••••••••• L••left Oct 2, 2017, registered Oct 4, 2017 (2 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address