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.
R•••••• K• W••••
- O•• M•••• F••••••• L•• state registered currentsince Jan 26, 2024 · Burlington, Vt
- O•• M•••• F••••••• L•• state registeredSep 27, 2022 to Dec 31, 2023 · Burlington, Vt
- P•••••• F•••••••• A•••••••• L•• independent RIASep 2, 2009 to Oct 31, 2022 · South Burlington, Vt
- W•••• F•••••••• P•••••••• L•• unclassifiedDec 5, 2007 to Jul 30, 2009 · Essex, Vt
- P•••••• F•••••••• A•••••••• L•• to O•• M•••• F••••••• L••left Oct 31, 2022, registered Sep 27, 2022 (-34 days) · RIA to a state-registered adviser
- W•••• F•••••••• P•••••••• L•• to P•••••• F•••••••• A•••••••• L••left Jul 30, 2009, registered Sep 2, 2009 (34 days) · Other
- R•••••• K• W•••• left P•••••• F•••••••• A•••••••• L•• for O•• M•••• F••••••• L•• (registered 2022-09-27)Oct 31, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address