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.
A••••• L••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 23, 2024 · Plainville, Ma
- B•••••• W••••• A•••••••• L•• state registeredJan 15, 2019 to Dec 31, 2023 · Warwick, Ri
- B•••••• W••••• A•••••••• L•• state registeredOct 23, 2018 to Dec 31, 2018 · Warwick, Ri
- C••••••••• F•••••••• N•••••• national BDJan 22, 2003 to Oct 11, 2018 · Cumberland, Ri
- B•••••• W••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2023, registered Feb 23, 2024 (54 days) · Other
- C••••••••• F•••••••• N•••••• to B•••••• W••••• A•••••••• L••left Oct 11, 2018, registered Oct 23, 2018 (12 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••• L•••• left B•••••• W••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-02-23)Dec 31, 2023 · 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