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.
B•••••• R••• L••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Oct 24, 2022 · Punta Gorda, Fl
- S••••• F•••••••• G•••• I•• formerJul 5, 2019 to Mar 24, 2021 · Colchester, Ct
- W•••• F•••• A••••••• wirehouseMay 27, 2011 to Jul 9, 2019 · Colchester, Ct
- E••••• J•••• national BDNov 9, 2006 to May 27, 2011 · Colchester, Ct
- S••••• F•••••••• G•••• I•• to P••••••• F•••••••• S•••••••• I•••left Mar 24, 2021, registered Oct 24, 2022 (579 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••left Jul 9, 2019, registered Jul 5, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left May 27, 2011, registered May 27, 2011 (0 days) · Affiliated broker-dealer or bank to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address