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••••• L•••••• L•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 18, 2020 · Cumberland, Ri
- C••• B•••••••• S•••••••• I••• formerFeb 22, 2013 to Dec 22, 2020 · Woonsocket, Ri
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 12, 2007 to Mar 26, 2009 · Lincoln, Ri
- C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 22, 2020, registered Dec 18, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••• B•••••••• S•••••••• I•••left Mar 26, 2009, registered Feb 22, 2013 (1429 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address