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.
K•••• G•••• S••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 11, 2022 · Lebanon, Nh
- T•• P•••••• F•••••••• G••••• L•• independent RIAJul 2, 2019 to Jun 27, 2022 · Shrewsbury, Ma
- S••••••••• A•••••• A•••••••• I••• formerJun 20, 2017 to Aug 28, 2019 · Welleseley Hills, Ma
- T•• P•••••• F•••••••• G••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 27, 2022, registered Jul 11, 2022 (14 days) · RIA to affiliated broker-dealer or bank
- S••••••••• A•••••• A•••••••• I••• to T•• P•••••• F•••••••• G••••• L••left Aug 28, 2019, registered Jul 2, 2019 (-57 days) · Affiliated broker-dealer or bank to independent RIA
- K•••• G•••• S•••••• left T•• P•••••• F•••••••• G••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-07-11)Jun 27, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address