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.
C•••••• D••••• M•••••
- A••••••• I••••••••• S••••••• I•• independent RIA currentsince Nov 14, 2007 · Great Barrington, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2005 to Feb 27, 2007 · Pittsfield, Ma
- D••• M•••• M••••••••• I•• unclassifiedJun 1, 2004 to Jun 22, 2005 · Williamstown, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• I••••••••• S••••••• I••left Feb 27, 2007, registered Nov 14, 2007 (260 days) · Other
- D••• M•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 22, 2005, registered Aug 11, 2005 (50 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address