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.
T••••• R••••• M••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 18, 2012 · East Greenwich, Ri
- C••••••• • C••• I••• formerDec 18, 2006 to Jan 11, 2012 · East Greenwich, Ri
- B••••• • Y•••• A•••••••• I••• formerDec 18, 2006 to Jan 3, 2007 · East Greenwich, Ri
- C•••••• C•••••• C••••••••• independent RIAJun 3, 2004 to Dec 31, 2006 · East Greenwich, Ri
- C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 11, 2012, registered Jan 18, 2012 (7 days) · Other
- B••••• • Y•••• A•••••••• I••• to C••••••• • C••• I•••left Jan 3, 2007, registered Dec 18, 2006 (-16 days) · Other
- C•••••• C•••••• C••••••••• to B••••• • Y•••• A•••••••• I•••left Dec 31, 2006, registered Dec 18, 2006 (-13 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address