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.
T•••••• T••••••••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Jul 5, 2017 · North Reading, Ma
- F•••••••• W••• G•••• formerJan 26, 2016 to Jul 6, 2017 · North Reading, Ma
- O•••• I••••••••• I••• BD affiliatedNov 20, 2013 to Nov 13, 2015 · Meriden, Ct
- H•••••• C•••••• A•••••••• L•• unclassifiedJul 19, 2013 to Nov 20, 2013 · Manchester, Nh
- F•••••••• W••• G•••• to V••••••••• A••••••• S•••••••left Jul 6, 2017, registered Jul 5, 2017 (-1 days) · Other · moved with a team
- O•••• I••••••••• I••• to F•••••••• W••• G••••left Nov 13, 2015, registered Jan 26, 2016 (74 days) · Other
- H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••left Nov 20, 2013, registered Nov 20, 2013 (0 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address