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.
K•••• M••• T••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 3, 2021 · Mansfield, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 2, 2021 · East Providence, Ri
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · East Providence, Ri
- M•••••• independent RIAMar 6, 2014 to Feb 1, 2018 · Overland Park,, Ks
- M•••••• independent RIAMar 28, 2011 to Sep 27, 2012 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerSep 10, 2009 to Jan 2, 2015 · East Providence, Ri
- S••••••• I••••••••• I••• formerSep 10, 2007 to Oct 2, 2009 · Warwick, Ri
- M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 2, 2021, registered Nov 3, 2021 (1 days) · Affiliated broker-dealer or bank to another
- M•••••• to M•• F•••••••• S•••••••• I•••left Feb 1, 2018, registered Jan 2, 2015 (-1126 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M••••••left Jan 2, 2015, registered Mar 28, 2011 (-1376 days) · Other · moved with a team
- S••••••• I••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Oct 2, 2009, registered Sep 10, 2009 (-22 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