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.
C••••••••• M•••••• O•••••
- C••••••• S••••••••• I••• BD affiliated currentsince May 13, 2019 · Johnston, Ri
- E•••• S••••••••• L•• BD affiliatedJul 12, 2016 to May 6, 2019 · Hyannis, Ma
- S•••••••• S••••••••• BD affiliatedDec 23, 2013 to Sep 5, 2014 · Worcester, Ma
- E•••• S••••••••• L•• BD affiliatedNov 6, 2013 to Dec 10, 2013 · Hyannis, Ma
- E••••• J•••• national BDMar 26, 2007 to Apr 10, 2007 · St Louis, Mo
- E•••• S••••••••• L•• to C••••••• S••••••••• I•••left May 6, 2019, registered May 13, 2019 (7 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to E•••• S••••••••• L••left Sep 5, 2014, registered Jul 12, 2016 (676 days) · Other
- E•••• S••••••••• L•• to S•••••••• S•••••••••left Dec 10, 2013, registered Dec 23, 2013 (13 days) · Other
- E••••• J•••• to E•••• S••••••••• L••left Apr 10, 2007, registered Nov 6, 2013 (2402 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