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•••• J••••• M•••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 31, 2022 · Warwick, Ri
- C••••••• F•••••••• I•• formerDec 2, 2009 to Dec 6, 2022
- C••••••• F•••••••• I•• to J••••• M••••••••• S•••• L••left Dec 6, 2022, registered Oct 31, 2022 (-36 days) · RIA to affiliated broker-dealer or bank
- D•••• J••••• M••••••• left C••••••• F•••••••• I•• for J••••• M••••••••• S•••• L•• (registered 2022-10-31)Dec 6, 2022 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address