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•••••• L•• G••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 3, 2022 · Manchester Village, Vt
- R•••••• J•••• • A••••••••• I••• national BDOct 6, 2014 to Oct 12, 2022 · Manchester Village, Vt
- R•• C•••••• M••••••• L•• national BDAug 11, 2008 to Oct 17, 2014 · Manchester, Vt
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 12, 2008 · Manchester, Vt
- A• G• E•••••• • S•••• I••• unclassifiedSep 29, 2003 to Jan 1, 2008 · Manchester, Vt
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 12, 2022, registered Oct 3, 2022 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••left Oct 17, 2014, registered Oct 6, 2014 (-11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Aug 12, 2008, registered Aug 11, 2008 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- 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
- M•••••• L•• G•••••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-10-03)Oct 12, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address