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.
R••••• N• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 19, 2006 · Walpole, Ma
- F•••• F•••••••• A••••••• S••••••• I•• independent RIAAug 10, 2005 to Jan 16, 2007 · Westerly, Ri
- F•••• A••••• S••••••••• I••• formerMay 25, 2005 to Jan 5, 2007 · Westerly, Ri
- F•••• F•••••••• A••••••• S••••••• I•• to L•• F•••••••• L••left Jan 16, 2007, registered Dec 19, 2006 (-28 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• F•••••••• A••••••• S••••••• I••left Jan 5, 2007, registered Aug 10, 2005 (-513 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
- 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