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•••••• R••••• W•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Sep 7, 2023 · Providence, Ri
- T• A••••••••• I••• formerFeb 3, 2006 to Oct 14, 2022 · Scottsdale, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 7, 2005 to Jan 17, 2006 · Lincoln, Ri
- M••••• S•••••• D• I••• unclassifiedFeb 22, 2005 to Aug 18, 2005 · Providence, Ri
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Apr 25, 2006 (-6016 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to T• A••••••••• I•••left Jan 17, 2006, registered Feb 3, 2006 (17 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 18, 2005, registered Dec 7, 2005 (111 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address