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.
A••••• K• M••••••••
- S•••••••• S••••••••• BD affiliated currentsince Oct 2, 2019 · Salem, Nh
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 28, 2012 to Apr 3, 2019 · Braintree, Ma
- C•••• I••••••••• S••••••• C•••• formerSep 28, 2009 to Sep 24, 2010 · Trumbull, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 2, 2007 to Jul 21, 2009 · Stamford, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDOct 23, 2006 to Jan 17, 2007 · New Haven, Ct
- V••• F•••••••• A•••••••• I••• to S•••••••• S•••••••••left Apr 3, 2019, registered Oct 2, 2019 (182 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••• I••••••••• S••••••• C•••• to V••• F•••••••• A•••••••• I•••left Sep 24, 2010, registered Feb 28, 2012 (522 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C•••• I••••••••• S••••••• C••••left Jul 21, 2009, registered Sep 28, 2009 (69 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jan 17, 2007, registered May 2, 2007 (105 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address