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••• G•••• L••••••••
- O••••••• B•• W••••• P••••••• independent RIA currentsince Jun 15, 2022 · East Greenwich, Ri
- P•••••• A•••••• G••••• L•• BD affiliatedDec 17, 2020 to Jun 8, 2022 · Norwalk, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 31, 2007 to Sep 14, 2016 · Westport, Ct
- P•••••• A•••••• G••••• L•• to O••••••• B•• W••••• P•••••••left Jun 8, 2022, registered Jun 15, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to P•••••• A•••••• G••••• L••left Sep 14, 2016, registered Dec 17, 2020 (1555 days) · Other
- M••• G•••• L•••••••• left P•••••• A•••••• G••••• L•• for O••••••• B•• W••••• P••••••• (registered 2022-06-15)Jun 8, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address