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.
K•••• R••••• L••••••
- A••••• P•••••• W•••••• I••• independent RIA currentsince Sep 20, 2021 · Totowa, Nj
- E••••• J•••• national BDOct 25, 2019 to Feb 5, 2021 · Greenville, Ri
- S•••••••• S••••••••• BD affiliatedApr 20, 2018 to Oct 25, 2019 · Providence, Ri
- S•••••••• I••••••••• M••••••••• formerMar 11, 2017 to Mar 8, 2018 · Saint Louis, Mo
- E••••• J•••• to A••••• P•••••• W•••••• I•••left Feb 5, 2021, registered Sep 20, 2021 (227 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• S••••••••• to E••••• J••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to S•••••••• S•••••••••left Mar 8, 2018, registered Apr 20, 2018 (43 days) · Affiliated broker-dealer or bank to another
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address