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••• B••••••
- S•• B•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Feb 27, 2018 · Vernon, Ct
- I••••• F•••••••• C••••••••• formerJun 29, 2011 to Feb 13, 2018 · Appleton, Wi
- E••••••• F•••••••• S•••••••• I••• unclassifiedJan 12, 2009 to Jun 23, 2011 · Pittsford, Ny
- S••••••• I••••••••• I••• formerSep 17, 2008 to Jan 21, 2009 · Rocky Hill, Ct
- V••• F•••••••• P•••••••• L•• formerSep 13, 2004 to Jun 4, 2008 · Cromwell, Ct
- I••••• F•••••••• C••••••••• to S•• B•••••• F•••••••• S•••••••• I•••left Feb 13, 2018, registered Feb 27, 2018 (14 days) · Other
- E••••••• F•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jun 23, 2011, registered Jun 29, 2011 (6 days) · Other
- S••••••• I••••••••• I••• to E••••••• F•••••••• S•••••••• I•••left Jan 21, 2009, registered Jan 12, 2009 (-9 days) · Other
- V••• F•••••••• P•••••••• L•• to S••••••• I••••••••• I•••left Jun 4, 2008, registered Sep 17, 2008 (105 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address