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.
W•••••• R• S•••••
- G•••• O•• C•••••• P•••••••• L•• independent RIA currentsince Nov 16, 2015 · South Easton, Ma
- L•• F•••••••• L•• BD affiliatedFeb 27, 2009 to Nov 24, 2015 · Warwick, Ri
- O•••• F•• I••• formerSep 10, 2007 to Feb 27, 2009 · Warwick, Ri
- L•• F•••••••• L•• to G•••• O•• C•••••• P•••••••• L••left Nov 24, 2015, registered Nov 16, 2015 (-8 days) · Other
- O•••• F•• I••• to L•• F•••••••• L••left Feb 27, 2009, registered Feb 27, 2009 (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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address