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•••• T••••••• S••••
- S•••• W••••• A•••••••• L•• independent RIA currentsince Jan 26, 2017 · Greenland, Nh
- C••••• • M•••••••• I••• formerNov 12, 2003 to Jan 24, 2017 · Greenland, Nh
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMay 26, 1993 to Nov 12, 2003 · South Norwalk, Ct
- C••••• • M•••••••• I••• to S•••• W••••• A•••••••• L••left Jan 24, 2017, registered Jan 26, 2017 (2 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C••••• • M•••••••• I•••left Nov 12, 2003, registered Nov 12, 2003 (0 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address