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.
S••• P•••••• D•••••
- C• A•••••••• L•• independent RIA currentsince Jun 14, 2023 · Boston, Ma
- P••••••• A••••••• G••••• I••• formerNov 19, 2020 to May 17, 2021 · Columbia, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2004 to Oct 4, 2005 · Pennington, Nj
- P••••••• A••••••• G••••• I••• to C• A•••••••• L••left May 17, 2021, registered Jun 14, 2023 (758 days) · RIA to RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• A••••••• G••••• I•••left Oct 4, 2005, registered Nov 19, 2020 (5525 days) · Wirehouse to independent RIA
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address