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.
D••••• P•••••• M••••••
- M•••••• W••••• M••••••••• independent RIA currentsince Sep 14, 2018 · Wakefield, Ri
- W•••• F•••• A••••••• wirehouseOct 2, 2009 to Sep 17, 2018 · Charlestown, Ri
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 5, 2009 · Charlestown, Ri
- A• G• E•••••• • S•••• I••• unclassifiedSep 20, 2006 to Jan 1, 2008 · Charlestown, Ri
- W•••• F•••• A••••••• to M•••••• W••••• M•••••••••left Sep 17, 2018, registered Sep 14, 2018 (-3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 5, 2009, registered Oct 2, 2009 (-3 days) · channel change inside one enterprise, not a move
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address