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••• K•••••••• B•••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Warwick, Ri
- S•••••••• F••••••••• I••• formerNov 15, 2022 to Sep 1, 2023 · Braintree, Ma
- O• I••••••••• M••••••••• C• BD affiliatedAug 18, 2011 to Nov 16, 2022 · Saunderstown, Ri
- P••• A••••• S••••••••• L•• BD affiliatedJun 24, 2010 to Aug 31, 2011 · Middleton, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 10, 2007 to Jun 15, 2010 · East Greenwich, Ri
- S••••••• I••••••••• I••• formerJun 30, 2006 to Apr 11, 2007 · Warwick, Ri
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O• I••••••••• M••••••••• C• to S•••••••• F••••••••• I•••left Nov 16, 2022, registered Nov 15, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to O• I••••••••• M••••••••• C•left Aug 31, 2011, registered Aug 18, 2011 (-13 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jun 15, 2010, registered Jun 24, 2010 (9 days) · Other
- S••••••• I••••••••• I••• to M•• I•••••••• S•••••••• L••left Apr 11, 2007, registered Apr 10, 2007 (-1 days) · Other
- M••• K•••••••• B••••• left O• I••••••••• M••••••••• C• for S•••••••• F••••••••• I••• (registered 2022-11-15)Nov 16, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address