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.
- M••••• S•••••• wirehouse currentsince Jun 1, 2009 · Mystic, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 9, 2006 to Jun 1, 2009 · Springfield, Ma
- A•••••• I••• unclassifiedJan 5, 2005 to Dec 21, 2005 · New York, Ny
- T•••• S••••• S••••••••• I••• formerDec 16, 2002 to Jan 3, 2005 · Hartford, Ct
- Q•••• • R•••••• I••• unclassifiedSep 6, 2002 to Oct 15, 2002 · Hartford, Ct
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A•••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 21, 2005, registered Jan 9, 2006 (19 days) · Other
- T•••• S••••• S••••••••• I••• to A•••••• I•••left Jan 3, 2005, registered Jan 5, 2005 (2 days) · Other
- Q•••• • R•••••• I••• to T•••• S••••• S••••••••• I•••left Oct 15, 2002, registered Dec 16, 2002 (62 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address